Since the domestic A-share market is not fully internationalized,，More and more management agencies are beginning to enter the Hong Kong market，Introduce overseas investors by setting up a company in Hong Kong。It is understood，Many private equity management funds intend to apply for a Type 9 license from Hong Kong，Use Hong Kong as a platform to attract international investors。According to the regulations of Hong Kong's Securities and Futures Ordinance，Hong Kong License No. 9 mainly provides services for managing securities or futures contract investment portfolios, etc.。
Instructions for applying for Hong Kong Securities Regulatory Commission No. 9 license、General dealing
Require
The SFC will only issue licenses to applicants (including companies or individuals) who meet the fit and proper criteria and will assess whether the applicant is a fit and proper person from the following aspects:：a)Financial condition and solvency;b)Academic or other qualifications and experience，and considerations in this regard must have regard to the nature of the functions proposed to be performed by the applicant；c)Are you capable of doing your job competently?、conduct relevant regulated activities honestly and fairly；d)Reputation、character、Reliability and financial soundness。
Note：Licensed corporations and individuals affiliated with licensed corporations must comply with other legal requirements including immigration and taxation。two、Licensing of companies
Require
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。
also，Although the Securities and Futures Commission
Require
At least one responsible officer must be based in Hong Kong，in order to directly supervise the relevant business，However, the responsible officer does not need to be in Hong Kong at all times，The condition is that when necessary，The SFC must have immediate access to at least one responsible officer of the asset management company。Except for the person in charge，Any person who is a licensed asset management company or conducts asset management activities on its behalf must be licensed as a representative。
Companies planning to apply for an SFC license must also meet relevant capital requirements。If you hold a Type 9 regulated activity license and will not hold customer information，The company must maintain a minimum liquid capital of HK$100,000。three、Ongoing responsibilities after starting business After obtaining a license，The company must maintain the qualifications of a fit and proper person，and comply with all applicable provisions of the Securities and Futures Ordinance and its subsidiary legislation，and codes and guidelines issued by the Securities and Futures Commission。
Companies are required to submit audited accounts and financial statements regularly。The Securities and Futures Commission is also required to notify the Securities and Futures Commission of certain events or information changes related to the company’s business within a specific time limit.。
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。
