Responsible person(RO)

Hong Kong Securities and Futures Commission license 2026-08-13

Hong Kong Asset Management License No. 9 (Dajiu vs Xiaojiu)：Guidance on capital differences in holding client assets

Not sure whether you should apply for a major or minor? from client assets、capital、RO、From managed audits to SFC inquiries and annual maintenance, item-by-item assessments，Avoid choosing the wrong license structure，Obtain compliance implementation plan。

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Hong Kong Securities and Futures Commission license 2026-08-13

Synergy effects of Hong Kong’s 149 license portfolio：Why do asset management companies need a one-stop financial compliance layout?

Hong Kong license number 1/4/9 is not simply superimposed，It is the key for asset management institutions to achieve a closed loop of "fundraising-investment consulting-management"。This article breaks down the value of synergy、Compliance key points and implementation paths。

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Hong Kong Securities and Futures Commission license 2026-08-13

Hong Kong 149 license combination boxing：1、4、The synergy effect of No. 9 plate and the expansion of cross-border asset management business

from 1、4、Number 9 border、RO allocation to annual review maintenance and cross-border asset management extension，Quickly determine whether the 149 combination is suitable for your business，Reduce the risk of unlicensed operations and inquiries，Get compliance solutions now。

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Hong Kong Securities and Futures Commission license 2026-07-19

Analysis of Hong Kong SFC No. 9 plate application case：team、Capital and review inquiries

Mainland asset management institutions apply for Hong Kong SFC license number 9，Can it be completed in 9 months? This article combines practical cases，Disassembly timeline、RO arrangement、Material Points and High Frequency Risks，Give executable path。

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Hong Kong Securities and Futures Commission license 2026-07-13

Establishing a Family Office in Hong Kong：Which SFC financial licenses do I need to apply for?

From SFO/MFO boundary、Category 1/4/9 regulated activities to RO、AML and audit maintenance，Avoid the risk of unlicensed operations and blocked account opening，Get professional compliance solutions now。

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Hong Kong Securities and Futures Commission license 2026-07-11

Apply for Hong Kong SFC license：Responsible Personnel (RO) affiliation minefields and real management red lines

Dismantling SFC to review RO affiliation、substantive management、Hong Kong team and internal control evidence chain，Help you predict red lines for inquiries，Reduce the risk of rejections and post-licensing inspections，Get a customized compliance implementation plan now。

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Hong Kong Securities and Futures Commission license 2026-07-05

Hong Kong Securities and Futures Commission SFC No. 1/4/9 license application：Match the asset management company’s compliance structure with the person in charge of the RO

Dismantling the business boundaries of No. 1/4/9 license、RO evidence chain、Three lines of defense and SFC inquiry focus，Help the asset management team conduct self-examination before application，Reduce the risk of delays in replacement parts，Get the plan now。

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Hong Kong Securities and Futures Commission license 2026-07-01

Why do mainland private equity funds prefer Hong Kong’s No. 9 plate? Application fee、Complete explanation of exemption conditions and cycles

Sort out the fees for mainland private equity companies to apply for Hong Kong No. 9 license plate、RO configuration、Exemption boundaries and 3-6 month review and approval rhythm，Evaluate first and then submit，Reduce the risk of delays in replacement parts，Consult now。

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Hong Kong Securities and Futures Commission license 2026-06-27

What is the difference between Hong Kong SFC No. 1 and No. 4 plates? Guidance on Capital Requirements and Business Boundaries

Not sure if I should apply for No. 1 plate、Number 4 or double card? Clarify transaction execution first、investment advice、RO configuration、Capital Budget vs. 12-18 Month Maintenance Costs，Avoid operating beyond scope，Obtain compliance implementation plan。

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Hong Kong Securities and Futures Commission license 2026-06-22

Acquisition by Hong Kong SFC licensed company：RO remains in office、The whole process of client asset transfer and China Securities Regulatory Commission approval

From due diligence、RO transition to client asset migration with SFC approval，Combing No. 1、4、9 types of licensed companies acquire critical control points，Reduce delivery risk，Get compliance solutions now。

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