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，Need toSecurities Regulatory CommissionApply for the corresponding license。in，License No. 9 is the 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 Kong License No. 9
9The license 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.，i.e. asset 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：Hong Kong No. 9 License Application：Responsible personnel requirements、Shareholder qualifications and financial resources conditionsandlicensed representative。Both must meet rigorous academic qualifications、Professional qualifications and experience standards。
Responsible personnel requirements
- 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 Representative Requirements
- 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
GXT-HKComposed of professional teams from mainland China and Hong Kong，Focus on providing global company registration、Financial license application、Bank account opening、One-stop cross-border services such as tax financial planning and compliance consulting，Core covers Hong Kong MSO license、Hong Kong Insurance Brokers and Hong Kong Money Lenders Licenses、US MSB license、Hong Kong 149 license、9license plate，Helping enterprises to go overseas efficiently and compliantly，Steady global layout。
