Our compliance team understands the importance and complexity of license application for being licensed with regulators. We assist our clients and handles different licence applications, including SFC licences for 10 types of regulated activities in Hong Kong, Insurance Brokerage Businesses, Money Lenders and Fund Management Businesses in Singapore (MAS) and Australia (ASIC), Trust or Corporate Services Providers (TCSP) in Hong Kong, trading participant(s) application with HKEx, etc.

Financial authorities continue to enhance the regulatory scrutiny to govern the financial institutions. Drawn from leading financial institutions, regulators and authorities, we guide our clients to develop, to assist and to implement their compliance programs that are in line with the regulatory requirements, and to ensure they obtain the best available information in relation to the increasingly complex compliance rules and regulations. We provide tailored advice and ongoing support to our clients seamlessly and ensuring the solutions are innovative and cost-effective. 

A compliance framework is to organize compliance activities in a systematic approach to efficiently fulfil all the regulatory standard and mitigate the risk of non-compliance. We have the essential expertise in compliance to give you assistance in architecting, implementing, monitoring, and evaluating the compliance framework. 

The complex dynamics of banking and investment industry has continuously imposes governance and compliance challenges to business entities. Our consulting services solutions are designed to provide you with a better understanding with current and emerging regulatory environment as well as pragmatic solution which you can easily apply into your business.

Know Your Customer (KYC) is an essential practice to protect financial institutions from fraud and losses resulting from money-laundering, illegal frauds and suspicious transactions. KYC is forming part of the Anti-Money Laundering (AML) procedures and it refers to procedures the financial institutions adopt to establish customer identity and to understand the nature of customer’s business activities, in order to assess the money laundering risks associated with the customers. 

Our team offers comprehensive services on matters of marketing compliance, with the provision of professional advice and tailored reviews on marketing materials, for example, mass media posts, disclaimers, or presentation materials of your company. Our team is equipped with extensive consulting experience to identify potential compliance issues and provide accurate solution to the problem. We enable your company to have a cost-effective and efficient review process, ensuring that your marketing materials could be smoothly delivered in no time.

Our team has expertise acting for fund / asset managers in relation to setting up an appropriate fund vehicle. 

As we have come to an era of Fintech and Regtech, we provide comprehensive regulatory and compliance services to Fintech businesses. With extensive experience and practical working knowledge on Fintech business support, our team is dedicated to keeping up with the latest developments in the Fintech industry and offering the best assistance for your Fintech business throughout each and every development stage, including setup, operations and further expansion.

Compliance health check is believed to be a valuable part of the corporate governance framework. Our health check procedures are to ensure your business is meeting the essential compliance requirements and look for hidden dangers as well as providing appropriate support for improvements. By reviewing the compliance documents and procedures we will assess the status of governance obligation, identify deficiencies. Actionable recommendations for improvements will be offered by our team according to every individual health check results.

Conducting regular health check with us enable you to develop a robust internal control environment upon the compliance requirement and provide you confidence in your company’s regulatory compliance to move forward and continued success and growth.

The recent investment industry is increasingly varied, and complex, new laws and regulations are regularly instituted. We understand that each company may face different challenges and opportunities when addressing the regulatory changes with their distinctive compliance culture. Thereby, our team offer tailor-made solutions for your special projects, proactively support your business to deal with the market and regulatory changes, governance and compliance improvements, business operation transformation and market expansion. Our specialists are prepared to get along with you to cope with the challenges and explore the opportunities.       

With our extensive knowledge about the market and the complex regulatory environment, we provide compliance training and a sophisticated knowledge hub that provides an open innovation approach for the purpose of bringing together clients with deep understanding of compliance knowledge, both online and offline, to ensure staff members stay alerted and informed about the regulatory changes.