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Hong Kong license number 9:Processing method、Licensing requirements and application process

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Continuing last year’s popularity,This year, there are still a large number of mainland and Hong Kong companies acquiring products through applications or acquisitions.Hong Kong license number 9,The core goal is to assist customers in arranging overseas investments more efficiently、Improve international asset structure。Hong Kong license number 9EssentiallyAsset management license,Equivalent to what is often called a private equity fund license in the Mainland,Can be used to issue private equity funds or public equity fund products。

Handling methods and cases

Get Zhongcheng YinxinHong Kong No. 4、9license plate,To a large extent, it stems from the “One Belt, One Road” national strategy’s drive for overseas development of enterprises.。In policy support、In the context of the overlay of tax and subsidy dividends,Whether business or individual,All have created a strong demand for rapid allocation of diversified overseas assets.。As a mainland holding group,Zhongcheng Yinxin completedHong Kong No. 9 plate processingback,Able to more smoothly allocate international high-tech assets、tourism assets、Agricultural assets, etc.,Highly consistent with its overall development direction。In addition to its own asset allocation needs,The company is also focusing on developing more diverse solutions for customers over the next five to ten years.、Customizable asset allocation solutions,Hong Kong 4、9number plateThe implementation directly breaks through the barriers to domestic and foreign assets.,Significantly improved market integration capabilities。

Zhuoxin International is a Hong Kong listed company,Completed a major merger and acquisition in May this year,Acquired two companies for HK$30 million,At the same time, 1、4、9The number plate is included in the bag,The acquirees are an asset management company and a securities company.。What needs to be reminded is that,If you plan to apply for a new Hong Kong license No. 9,If the name of the subsidiary company established in Hong Kong contains words such as "asset management", it will be more conducive to the application.。Zhuoxin International acquires Hong Kong1 through acquisition、4、9license plate,Simultaneously acquired securities trading、Securities investment consultant、Securities brokerage and other business scope,Leverage the Hong Kong market as a springboard,Investors can invest more flexibly and leverage more valuable international assets。

People and company requirements

The application conditions for Hong Kong No. 9 license are mainly focused on two levels: personnel requirements and company requirements.。The number of organizations applying for this license has increased significantly in the past two years.,In particular, mainland asset management companies hope to allocate overseas assets by obtaining licenses.,Therefore, the entire approval process is becoming increasingly strict.。

  • Personnel,The applicant institution must have a sufficient number of relevant qualificationsResponsible personand licensed representatives,To meet the requirements of the China Securities Regulatory Commission on professional ability and professional experience。
  • Company side,A limited company must be incorporated in Hong Kong,Have a clear business structure、Sound internal control system and sufficient working capital,And can prove the ability to protect the safety of investors’ assets。

Application process

Hong Kong license number 9Application processMainly to submit corresponding application materials to the Hong Kong Securities and Futures Commission (SFC),SFC will strictly review the applicant's conditions。SFC will ensure that applicants meet regulatory requirements in all aspects,and have sufficient ability to protect investors’ asset rights and interests.,A license will be issued。Companies interested in applying are advised to prepare for compliance in advance.,and allow sufficient time for approval.。

About Hong Kong Xintong

Hong Kong Xintong focuses onHong Kong Securities and Futures Commission licenseHong Kong Insurance Broker LicenseHong Kong MSO Licenseandmoneylenders licenseApply for service,Assist customers to applyUS MSB license、NFA、RIA、Canadian MSB license、Mainstream overseas financial licenses such as Australia and Mexico,Support enterprises to achieve compliance expansion of cross-border financial business。Also availableCayman Islands Offshore Company Registration、Offshore fund establishment and global compliance operations and other services,Help enterprises expand their presence in international markets。Provide one-stop compliance solutions for enterprises。To learn more,Please contactHong Kong Information Communications Consultant

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Zhou Haoming

Zhou Haoming has experience in the fields of asset management and securities regulatory compliance in Hong Kong. 8 years of experience,Served in key business and compliance positions in a licensed asset management company。He is familiar with the Hong Kong Securities and Futures Commission (SFC) regarding 9 Application conditions for asset management license、Risk control framework requirements、internal compliance system、Compliance rules such as portfolio management control and officer qualification requirements。Zhou Haoming is good at formulating internal compliance manuals and ongoing operational compliance processes that comply with the Securities and Futures Ordinance.。

Areas of expertise:SFC 9 Application for number license、risk control framework、Officer qualification requirements、Securities and Futures Ordinance、Internal Compliance Manual。

Previous institutions:Hong Kong licensed asset management company & SFC Compliance Team

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