Securities and Compliance

Our professional and seasoned team assist clients in applying for various types of securities-related licenses in Hong Kong: SFC type 1-9 licenses, by helping them painlessly walk through every hurdle of the licensing application process.

 

Our professional services cover:

 

  • Providing clients with preliminary advice on successful licensing including whether any licence exemption is available;

  • Preparing relevant documents including the application forms, business plan, compliance manual, operations manual, risk & internal control manual, anti-money laundering manual and counter-financing of terrorism manual;

  • Assisting clients in assessing the background, qualifications and experience of the Responsible Officers (“RO”) and giving advice on whether the RO meets SFC’s competency requirements and “fit and proper” criteria; and

  • Liaising with the regulators (handle correspondences with and enquires from the regulators). 

 

 

 

 

Disclaimer: The contents above are for reference only, and we do not take any responsibility for its accuracy. The latest laws and regulations of respective governments, regulatory and professional bodies shall prevail.

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