实务合规篇：私募基金出海香港如何实现合规？

With its natural geographical proximity to the mainland and the advantages of being an international financial center, Hong Kong has become the preferred platform for mainland private equity management institutions to invest. With more and more mainland private equity management institutions pouring into the Hong Kong market, it is particularly important to arrange the compliance work in advance. At present, the Hong Kong financial number license is one of the mainstream ways for large-scale private equity to go to sea in China. Holding the number license issued by the Hong Kong Securities Regulatory Commission is equivalent to having a green card in the international capital market, which is not only for direct participation. Investment with overseas investors can also be managed and used according to the relevant laws of Hong Kong. In this paper, Liu Lei's team of lawyers will analyze the application conditions and procedures of Hong Kong asset management license plate from many angles, aiming at providing compliance guidance for those interested in exhibiting in Hong Kong-the different application conditions of private equity license and virtual asset license. Although both private equity license and virtual asset management license need to apply for Hong Kong financial license plate, they exist in the application conditions. There is a big difference. First of all, you only need to apply for a number plate to engage in private equity business, but to engage in virtual asset management business, you need not only a number plate, but also a sub-brand that can do virtual asset business, that is, the number plate upgrade. In addition, there are also differences in the requirements for the company's registered capital, corporate structure, office space and other aspects in the license application for private equity business and virtual asset business. Second, licensed representatives require that private equity licenses are generally only required in terms of the number of licensed representatives. However, because the virtual asset market operates round the clock, which is different from the traditional fund or stock market, it generally requires at least three responsible persons to work in three shifts, and the qualifications of the two are also different. This will be introduced in detail in the preliminary preparation for applying for the license plate in the third point below. The functional scope of the three licenses meets the requirements of the private equity industry introduced in this paper, and you can engage in private equity-related business after applying for the corresponding license plate according to the process, but the product model. Generally speaking, virtual assets are not allowed to be involved. If you want to engage in the private placement of virtual assets, you need to apply for the above-mentioned number plate and virtual assets sub-card, otherwise you may be considered as operating without a license and be investigated by the CSRC. 2. Positioning and application of private equity fund licenses According to the regulatory requirements of the Hong Kong Securities Regulatory Commission, there are ten kinds of financial institutions that can simultaneously conduct trading in stocks, financial derivatives, foreign exchange and gold after being licensed, among which private equity funds are established in Hong Kong. Need to obtain a license plate, that is, the securities and futures regulations, class I regulated business qualification license plate, a positioning license plate is the class I regulated business qualification license plate stipulated in the securities and futures regulations promulgated and implemented by the Hong Kong Securities Regulatory Commission, that is, the asset management license plate. The financial entity with a license plate can manage other people's assets in accordance with relevant laws and regulations. The Hong Kong license plate is one of the mainstream ways of large-scale private placement going to sea at present and a pass for the domestic capital market. Having this license plate means that it can directly participate. Overseas investment and management of the use of overseas investors' funds, and because the scope of securities in the Hong Kong Securities and Futures Ordinance is far greater than that in the general sense, including shares, stocks, debentures, bonds, equity fund bills and their rights, options, rights and interests or rights certificates, certificates of participation, interim certificates, receipts or warrants for subscription or purchase of these projects, and other rights or properties that are usually securities, it was awarded the Hong Kong number. After the license, the company will be qualified to provide overseas institutions with portfolio management services such as stocks, funds and bonds. 3. Scope of business. The business type covered by the Hong Kong license plate is equivalent to the private equity license in the Mainland, but compared with the registration of private equity managers in the Mainland, there are not so many restrictions on investment groups in Hong Kong. 4. There are two ways to obtain the license plate in Hong Kong. At present, there are two main ways to set up a company in Hong Kong and directly acquire a Hong Kong company with a license plate from the applicant. For the second way to acquire a license plate, all parties should apply for it and follow the normal acquisition process. This article will not make too much analysis. The following will mainly introduce the first way to obtain a license plate. Third, the preparation for applying for a license plate. First, set up a company with a suitable personnel structure. This requirement is mainly to ensure that the applicant has real business conditions in Hong Kong and avoid the false establishment of a company in Hong Kong. In addition, the company needs to open at least one Hong Kong bank account for bookkeeping and statistical income and expenditure. The number of qualified licensed representatives nominally requires people and at least one principal responsible person to be resident in the Hong Kong company for necessary business communication. In addition, the licensed institution also needs to have the qualification of an emergency contact person to deal with complaints and emergencies. The requirements of the principal responsible person are industry qualifications, such as accounting, business administration, economics, finance and law, or other university degrees, and at least pass the examination in designated subjects or obtain professional qualifications such as chartered finance. Analysts recognize financial planners and other industry experience for at least years, and have more than years of management experience. In the provisions of the CSRC, the above meanings and their mathematical meanings are different. They all mean that they include this number of exams to take the qualification examination for securities and futures practitioners in Hong Kong, and volumes 1 and 6 must be qualified. Compared with the main responsible persons, the requirements for ordinary licensed representatives are relatively low, and there are no requirements for the above-mentioned industry qualifications and industry experience, and securities and futures practitioners in Hong Kong. You can pass the exam as soon as you pass the exam. 3. The office space must have a physical office. There is no requirement for the specific area, but there must be a lease contract or owner's consent with the lessor of the property or other office buildings to prove that the financial entity does have a physical office offline. The company must have independent office space and be equipped with basic office facilities that can only be used by its employees. The monthly rent for renting an independent office in Hong Kong is about 10,000. In addition, a certain management fee will be charged for the property in Hong Kong if the company uses the shared office, it must fully explain the reasons why the shared office can meet its office needs and ensure that representatives of the CSRC can visit the shared office. The CSRC may occasionally send inspectors to conduct spot checks on the number of applications without the number plate. Applications with the number plate must have more than one office, and all offices must meet the requirements of the first three points. We suggest that domestic private equity funds can consider renting independent office space in serviced office or offices with smaller areas at the beginning of their arrival in Hong Kong until the business regulations. 比特币今日价格行情网_okx交易所app_永续合约_比特币怎么买卖交易_虚拟币交易所平台

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