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What are the requirements for buying a Hong Kong No. 9 plate?,Hong Kong asset management license transfer fee

Financial card care question

Hong Kong Xintong Peng Yishuo License:Among several licenses in Hong Kong’s financial sector,The most difficult ones to apply for should be the license plates 1-10 managed by the China Securities Regulatory Commission.。If the company wants to apply for these licenses,It requires a lot of procedures and inspections,but,Once you obtain these licenses,It also means that the company can design a lot more businesses,Have more development opportunities。

This article mainly wants to introduce to you,What are the requirements for buying a Hong Kong No. 9 plate?,Hong Kong Asset Management License Transfer

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。What are the specific requirements for Hong Kong No. 9 license application?

Require

  1. Register a Hong Kong company,The company’s business scope should include the type of asset management。If an overseas company in Hong Kong wants to directly engage in asset management business in Hong Kong,You need to register at the registration office before applying for the Hong Kong No. 9 license。
  2. Hong Kong License No. 9 is actually an asset management license,So it represents the interests of investors。Therefore, the Securities and Futures Commission of Hong Kong

Require

The company itself must have a relatively good corporate structure,There is a complete set of protection systems to ensure that the interests of investors are not violated。(3) Hong Kong Securities and Futures Commission

Require

The company itself should employ a sufficient number of,Comply with the Securities and Futures Commission

Require

responsible person。

The responsible officer’s primary responsibility is to supervise the company’s operations,and conduct regular operational reports to the China Securities Regulatory Commission.。(4) The person in charge mainly assesses academic qualifications,Industry experience,Management experience and regulatory knowledge (regulatory knowledge is actually what we often call laws and regulations)。

The above is some basic information about the acquisition and transfer of Hong Kong No.9 license plates.,There are more problems involved in handling it yourself,Generally speaking,If you have no experience in this area,We do not recommend that companies complete it independently。Even if you really want to apply yourself,It is also recommended to find a suitable agency,Let’s first consult in detail on some recent policy issues.。Related products:What are the requirements for buying a Hong Kong No. 9 plate? , Hong Kong Asset Management License Transfer

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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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connect:Hong Kong Information Communications Consultant

Picture of Zhou Haoming

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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