Our Regulatory Compliance team can assist you on:

  1. Obtaining various types of financial services licenses in Hong Kong, including the different types of licenses from the Securities and Futures Commission (the “SFC”) and Hong Kong Monetary Authority (the “HKMA”);
  2. Preparation for obtaining licenses from the Insurance Authority in Hong Kong;
  3. Meeting your on-going compliance obligations after you have obtained your license;
  4. Managing a fund formation project and providing assistance on preparing fund documentation.

Obtain various types of financial services licenses in Hong Kong

We provide assistance in seeking approval from the SFC for the following:

  • New license application for a licensed corporation for any of the 10 types of regulated activities;
  • Application to be a Responsible Officer;
  • Application for a removal of a license condition (for a licensed corporation or for a licensed person);
  • Application for a substantial shareholder, including in the context of a sale and purchase of a licensed corporation;
  • Other miscellaneous approvals.

Our team can also assist in the following:

  • Obtaining licenses from the HKMA, including the Stored Value Facilities license;
  • Obtaining money lenders’ license in Hong Kong.

Meeting on-going compliance obligations

We assist our clients on their on-going compliance obligations after they have obtained their license. These include:

  • Preparing internal compliance documentation, such as Compliance Manuals, various compliance related policies, KYC and client on-boarding documentation, AML related documentation, corporate and fund related governance manual;
  • Designing client on-boarding using Smart Forms. Please register to see online sample;
  • Conducting independent external compliance review;
  • Providing compliance related training;
  • Assisting clients in dealings with the SFC and HKMA.

Preparation for obtaining licenses from the Insurance Authority in Hong Kong

  • Assisting Authorised Insurers in Hong Kong in updating their compliance documents as a result of the new insurance regulatory regime with the establishment of the Insurance Authority in Hong Kong;
  • Assisting insurance intermediaries in Hong Kong to prepare for obtaining their license.

Manage a fund formation project and provide assistance on preparing fund documentation

  • For fund managers / sponsor
    Advise on the entire fund formation process. This would include advising on fund structuring and project managing the entire fund formation process, providing fund documentation, assisting in selecting service providers, co-ordinating between investors and fund managers and handling investor due diligence.
  • For investors
    Conduct due diligence on alternative investment fund / fund managers / fund sponsors.

Our Corporate Services team provides the following services:

  1. Hong Kong company formation and company secretarial services;
  2. Incorporation of companies in various offshore jurisdictions including BVI, Cayman Islands, Seychelles, Mauritius and Samoa;
  3. Application for Work Permit in Hong Kong;
  4. Trade Mark applications in Hong Kong;
  5. Certification of documents by Hong Kong qualified lawyers.