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Hong Kong No. 9 plate qualification application conditions ,Hong Kong asset management qualification application requirements

Financial card care question

Hong Kong Xintong Peng Yi said qualifications:Shenzhen Hong Kong Xintong International has rich experience in Hong Kong financial license processing,Responsible personnel have successful experience in handling,Can provide one-stop processing services for enterprises,Ability to process qualifications for customers faster,Save customers the trouble of running around applying。We will also propose more reasonable solutions based on the actual situation of the customer.,Provide services to enterprises efficiently。

An asset management company that intends to apply for a license in Hong Kong must be a company incorporated in Hong Kong or an overseas corporation registered with the Companies Registry。According to the Securities and Futures Ordinance,Neither sole proprietorship nor partnership will be issued a license。When assessing whether a company is a good fit,The SFC will consider the company’s financial condition and solvency、Qualifications and experience of company personnel、and whether the company has the ability to conduct regulated activities competently。

In terms of competence,The company must demonstrate that it has an appropriate business structure、Good internal control system and qualified personnel,To ensure proper risk management and compliance with relevant rules and regulations。A licensed asset management company must have at least two responsible officers。In terms of nationality of licensed individuals and responsible officers,There are no restrictions or special regulations from the Securities Regulatory Commission。

At least one responsible officer of the asset management company must be a member of the board of directors,However, if other board members are not actively involved in or responsible for direct supervision of asset management activities,They do not necessarily need to be licensed to be responsible persons in the asset management business。


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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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