Regulations for Asset Management license in Hong Kong

Securitiues and Futures Commision (SFC), nder the Securities and Futures Ordinance (SFO), which came into effect on April 1, 2003, functions as the regulatory and supervisory body for finance-related entities in Hong Kong. Its objectives include:

  • Enhancing Hong Kong’s position as a premier financial hub, promoting it as a secure and robust investment destination on the international stage.
  • Regulating and overseeing the securities and futures markets in Hong Kong, ensuring transparency, fairness, and compliance among participants.
  • Enforcing stringent compliance with financial laws, establishing and executing regulatory standards to uphold market integrity.
  • Issuing licenses to financial entities and ensuring they adhere to the regulatory framework, as well as revoking licenses when compliance fails.
  • Protecting investors through rigorous regulatory practices, managing a compensation fund to cover potential financial losses.

Taxation of Asset Management companies in Hong Kong

  • There are no capital gains tax and no withholding tax on dividends, interest, and royalties
  • A Global Business Category entity holding an Investment Dealer License benefits from a deemed tax credit, which results in a maximum effective tax rate of 3% on its tradable profits

Requirements for Asset Management licensing in Hong Kong

List of required documents

Share Capital and Government Fees

Personnel Requirements

Business premises requirements

Legal services for obtaining Asset Management license in Hong Kong

Basic Package

45,000EUR initial set up

  • Name reservation
  • Company Incorporation
  • Registering share capital
  • Legal address for 1 year
  • Corporate documents
  • AML/KYC policies and other internal documents
  • Search for business premises for rent
  • Applying for the license and ongoing monitoring

Registration of the Forex Dealer licensed company under the minimum regulatory requirements

Additional services on request

  • Business plan preparation according to Hong Kong Acts
  • Adaptation of prepared documents
  • Accounting services
  • Preparation of legal opinion
  • Assistance in opening bank account
  • Setting up KYC/KYT provider
  • Apostilled corporate documents
  • Legal support

Ready-Made solution

available on request

  • Registered company
  • Legal address for 1 year
  • No debts, no liabilities – clean company
  • Registered share capital
  • Active license
  • Corporate documents
  • Assistance with transfer of ownership

Jegor Kupratsevits

Head of Finance Projects

Overview of requirements to obtain Asset Management license in Hong Kong

  • Incorporate under the Hong Kong Companies Act to ensure legal operation within the jurisdiction
  • Appoint Responsible Officers (ROs), a Director, and a Manager-in-Charge (MIC) to maintain compliance and oversee key operational areas.
  • Ensure that all team members, including ROs, the Director, and MIC, adhere to high standards of integrity and professional conduct.
  • Establish a physical office in Hong Kong to support essential operations and reinforce the firm’s commitment to local compliance.
  • Set up a corporate bank account as part of the financial arrangements to manage assets and transactions effectively

Estimated time frames to obtain Asset Management license in Hong Kong

Business name verification

1-5 days

Company formation

up to 2 weeks

Documents preparation

1 month

Investment license obtainment

4-6 months*

Roadmap of obtaining Asset Management license in Hong Kong

For more detailed road map of the project and commercial offer – get in touch with our Forex professional.

Jegor Kupratsevits

Head of Finance Projects



Conducting due diligence in collaboration with stakeholders and preparing essential legal documents, business plans, and compliance manuals tailored to Hong Kong’s regulatory environment

Reviewing contracts and issue legal certifications, and compiling all necessary documents for submission to the Securities and Futures Commission (SFC).


HR Service of necessary local compliance team.

Offering options for assembling a high-caliber local compliance team with expertise in financial regulations and asset management.

Ensuring the compliance team meets the SFC’s stringent requirements for industry knowledge and regulatory expertise.



Submitting the complete application package to the SFC, and initiating the corporate bank account opening process aligned with regulatory requirements.

Following up with the necessary documentation to complete the bank account setup.


Follow up

Maintaining regular communication with the SFC to respond to inquiries and provide any additional information required.

Continuing the process to set up the corporate bank account, ensuring all regulatory documentation is finalized.



Receiving approval from the SFC and proceeding with company incorporation, convening the initial board meeting to formalize operational procedures.

Securing premises for the company’s operations, establishing a strong business presence in Hong Kong.


Bank account(s) Opening

Submitting SFC approval and the Certificate of Incorporation to the bank to proceed with account formalities.

Coordinating with the bank to finalize the opening of the corporate bank account, completing all necessary formalities.

Advantages of registration Asset Management company in Hong Kong

Links for legislation related to Asset Management license in Hong Kong

Establishes the comprehensive legal framework for the securities and futures markets in Hong Kong, governing all regulated activities and defining the responsibilities of market participants.

Provides the legal basis for preventing and combating money laundering and terrorist financing in Hong Kong, outlining obligations for financial institutions in detecting and reporting related activities.

Regulates the incorporation, operation, and dissolution of companies in Hong Kong, facilitating business and ensuring compliance with corporate governance standards.

Sets out the conduct requirements for managers of funds, ensuring ethical practices and compliance with regulatory standards in asset management.

Provides detailed guidelines to help financial institutions and other regulated entities meet their obligations under the AMLO, enhancing the effectiveness of the AML/CFT regime.

Outlines the procedures and requirements for obtaining and maintaining a license for conducting regulated activities under the SFO, serving as a comprehensive resource for potential and existing licensees.

Detail the criteria and procedures for assessing the suitability of individuals and corporations to hold a license or registration under the regulatory framework, ensuring they meet the necessary integrity and competence standards.

Hong Kong Asset management license regulatory body

FAQ about Asset Management license in Hong Kong

1. Why choose Hong Kong for setting up your Asset Management firm?

Hong Kong is a globally recognized financial center in Asia. Obtaining a Type 9 license in Hong Kong provides a significant advantage and prestige to customers, establishing a strong presence in the Asian markets.

2. Who can apply for a Hong Kong Type 9 License?

Investment firms and individuals with relevant experience and qualifications in asset management are considered good candidates for the Type 9 License, reflecting Hong Kong's commitment to high standards in financial regulation.

3. How long does it take to get licensed by the SFC?

The licensing process with the Securities and Futures Commission (SFC) generally takes about 4-6 months, depending on the completeness of the application and the current workload of the SFC.

4. I have a license in another country; would it be useful?

Yes, holding a license from another jurisdiction is advantageous as it demonstrates compliance with high regulatory standards, potentially facilitating the licensing process in Hong Kong. For branches, details about the head office and its regulatory status must also be provided.

5. Should I establish an office in Hong Kong?

Yes, establishing a physical office in Hong Kong is necessary. It serves as a key base for keeping important documentation and provides a workplace for your staff. It is also required that at least one Responsible Officer (RO) is always available on-site for regulatory audits.

<< 1 >>

Forex license in Vanuatu 2024

Business activity: Forex Trading, MT4/5, Assets management

Forex license in Mauritius 2024

Business activity: Forex Trading, MT4/5, Assets management

Forex license in Cyprus 2024

Business activity: Forex Trading, MT4/5, Assets management

Forex license in Labuan 2024

Business activity: Forex Trading, MT4/5, Assets management

Forex license in Seychelles 2024

Business activity: Forex Trading, MT4/5, Assets management

Forex license in Saint Lucia 2024

Business activity: Forex Trading, MT4/5, Assets management