Regulatory & Compliance

Our regulatory & compliance team work closely with our clients to handle their legal risk matters and advise on compliance obligations required by the Securities and Futures Commission (“SFC”). Services we offer include the following:

SFC Licensing

We provide thorough and practical legal and regulatory advice services to assist financial institutions including financial advisers, securities companies, future companies, Leveraged Foreign Exchange Trading companies and their employees to obtain necessary SFC licenses for their businesses. Our licensing team:

  • Assess qualifications of Responsible Officers (“RO”)
  • Advise on corporate structure and business plan
  • Prepare and submit licensing applications
  • Liaison with SFC case officers
  • Handle SFC correspondences and requisitions
  • Negotiate licensing conditions
  • Prepare compliance manuals and other necessary documents for license application
  • Liaison with other advisers if necessary to ensure that the important legal, tax and accounting issues related to the applications are addressed

On-going Support (Monthly Compliance Service)

We provide on-going support to assist licensed corporation and licensed individuals to meet their licensing obligations. Our on-going support focuses on high-value added and customized services to address specific needs of licensed corporation and licensed individuals.

Change of Substantial Shareholder of Financial Institution

  • Assess qualifications for shareholder and review CV for shareholder
  • Prepare and submit licensing applications for change