Hong Kong as an important international financial center，It is a key hub for many mainland financial institutions to enter the global market.。Carrying out different types of financial business in Hong Kong，It is necessary to apply for the corresponding license from the Securities Regulatory Commission。in，License No. 9It is a core license for asset management business，Covers the management of securities or futures contract investment portfolios for clients on a discretionary basis，and manage funds on a discretionary basis。
what is hong kong9license plate
9license plateIt is a Type 9 regulated business qualification license issued by the Hong Kong Securities and Futures Commission in accordance with the Securities and Futures Ordinance.，Right nowAsset management license。Licensed companies can directly participate in overseas investments in international capital markets，and manage and utilize funds from overseas investors，Become an important qualification connecting the mainland and global asset management business。
Advantages of holding a No. 9 license
Obtaining the No. 9 license is equivalent to having a "pass" to the international capital market.，Licensed institutions can not only directly carry out cross-border asset management services，We can also accept carte blanche from overseas customers.，Flexible allocation of securities、Futures and fund portfolios。Leveraging on Hong Kong’s regulatory credibility，9License can effectively enhance investors’ trust，It is the company’s layout in overseas financial markets.、One of the preferred qualifications for expanding international business。
licensing requirements
When the Hong Kong Securities and Futures Commission approves the application for No. 9 license，Mainly evaluate the following three aspects：
- The company’s financial status and solvency；
- Qualifications and industry experience of management and key personnel；
- Whether the company has the substantial capacity to carry out regulated activities，Include appropriate business architecture、Sound internal control system，and appropriate risk management processes and compliance mechanisms.。
Personnel qualification requirements
Licensed companies must have at least two core personnel：Responsible personandlicensed representative。Both must meet rigorous academic qualifications、Professional qualifications and experience standards。
Responsible personRequire
- Hold a university degree in a specified field (e.g. accounting、Business Administration、economy、finance or legal)，or other degree and pass in at least two examinations in the specified areas；Or have a Chartered Financial Analyst qualification、Certified financial planner and other professional qualifications；
- Have at least 3 years of relevant industry experience in the past 6 years (recommended to be a public equity fund company)，At least 2 years of which have been in management positions；
- Passed Hong Kong Securities and Futures Practitioners Qualification Examination Paper 1 and Paper 6。
licensed representativeRequire
- Passed the Chinese, English and Mathematics examinations in the Hong Kong Certificate of Education Examination，Or hold equivalent academic qualifications (such as high school public examinations such as university entrance exams)；
- Have at least 5 years of relevant industry experience in the past 8 years (private equity firms are also acceptable)，At least 2 years of which have been in management positions；
- Passed Hong Kong Securities and Futures Practitioner Qualification Examination Paper 1。
overall，9The value of the license plate is extremely high，For companies interested in expanding into overseas markets，It is undoubtedly the core passport to enter the international asset management field.。
About Hong Kong Xintong
Hong Kong Xintong focuses onHong Kong Securities and Futures Commission license、Hong Kong Insurance Broker License、Hong 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。
