Fund Management License:Hong Kong Type 9


Although China’s security laws were imposed on Hong Kong, the country remain as Asia’s key financial centre. Hong Kong in terms of its maturity or its regulatory framework, is an ideal open trading market that offers great diversity for financial services providers. Let’s look deep into the Hong Kong Type 9 Fund Management License.

The Type 9 (Fund Management) license is issued and qualified by the SFC (Securities and Futures Commission). Upon approval, the licensed company is able to provide portfolio management services on market instruments such as domestic or overseas stocks, funds and securities.

To apply for the Type 9 License, what do you need to prepare? First, register a Hong Kong company. Second, at least two key management persons, a responsible officer and a licensed representative holding an appointment in office. Finally, provide and fulfil all other requirements set out by the SFC, where there will be financial status assessment, business structure assessment, internal policies assessment, and assessment on risk control measures. The license will be issued after all assessment are cleared.

The approved Type 9 company will pay tax in compliance to Hong Kong jurisdiction laws. Hong Kong has a good global reputation to date. The fund company can also choose to only provide their services to foreign (out of Hong Kong) investors, so there are few structures to choose from.

To find out more about how to apply for the Type 9 Fund Management License, please reach us at

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