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Applicants in the waiting room


Type 9 KIP + RO (with SFC authorized fund experience)



  • Assist in the RA Type 9 licensing application to SFC and prepare for the setup process, operations and infrastructure of the firm

  • Act as sole Responsible Officer for RA Types 9 with management responsibilities and duties to supervise the overall regulated businesses of the firm

  • Reviewing portfolios, managing orders and executing trades for the SFC authorized fund

  • Assist in the establishment of investment strategy, implementation of strategic asset allocation 

  • Manage the portfolio risks in accordance to the mandate and risk control guidelines

  • Ensure the Fund Management Business is in compliance with the regulatory requirement


  • Current holder of SFC Type 9 Responsible Officer

  • Existing SFC License Representative of RA Type 9 with sufficient experience will also be considered

  • AT LEAST 5 years of fund management experience (SFC authorized fund / Public Fund)

  • Bachelor Degree or above with major in Economics, Finance or related disciplines

  • Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities

  • Self-initiative, independent with good interpersonal and communication skills

  • Good command of spoken and written Chinese and English including Cantonese and Putonghua

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