Regulatory compliance services

We offer comprehensive regulatory compliance consulting solutions for regulated firms. Our specialists in Hong Kong offer tailored solutions to assist your business with initial regulatory applications and authorisations, the development of suitable policies and procedures, and ongoing regulatory advice and reporting.

We represent the largest independent regulatory compliance firm in Asia with extensive experience in compliance consulting. We allow you to focus on what you do best by handling the rest. Plan your strategies and expansion with ease knowing our global team will be with you every step of the way. Explore our services below to discover how we can reduce your regulatory risks and address your compliance needs so your business can thrive.

Licence applications

We process your Hong Kong Monetary Authority (HKMA), Securities and Futures Commission (SFC), Insurance Authority (IA) and Customs & Excise Money Services Operator licences in Hong Kong, Registered Investment Adviser (RIA) and Exempt Reporting Adviser (ERA) registrations with the U.S. Securities and Exchange Commission (SEC) as well as SEHK stock exchange memberships.

Ongoing compliance support

We implement your compliance programme, covering governance and senior management responsibilities, regulatory correspondence, notifications and submissions, employee certifications, fitness, properness and ethics, horizon scanning and regulatory updates, monitoring regulatory financial and capital adequacy, operational resilience and internal controls reviews, anti-bribery and corruption measures and client categorisation and suitability.

Expert network compliance support

To address the risk of inadvertently receiving and mishandling material non-public information through the use of expert network, we review/advise on your procedures for due diligence on the expert network, as well as the interactions with the research consultants. We also assist with chaperoning expert network calls and writing up detailed notes.

AML/CTF and CDD services

We offer comprehensive client onboarding services covering know your customer (KYC) and customer due diligence (CDD) procedures, sanctions, PEP and adverse media screening, anti-money laundering (AML) policies and procedures, AML audits and remediations and the provision of MLRO and AMLCO services for Cayman Islands funds.

Internal audit, mock inspections, compliance health checks and inspection remediation

We undertake internal audits, mock regulatory inspections, and compliance health checks providing recommendations for improvements. We support you through regulatory inspection and remediation processes for the SFC, IA, HKMA and SEC.

Compliance policies and procedures

We draft and customise all types of compliance and internal compliance manuals, operational and procedural manuals, risk management frameworks and internal controls documentation such as business continuity plans.

Compliance training

We offer specialist online training for employees, senior management, and Boards to meet their regulatory continuous professional development obligations and expand their regulatory knowledge. To learn more about our training services, please contact us.

Research and advisory services

We undertake regulatory tracking to scan important regulatory changes in Asia as well as globally to analyse changes that may affect your business. We guide you through regulatory changes that you may need to implement and maintain guides on important compliance topics. Examples of this include cross-border marketing rules, accredited investor rules, insider dealing rules and AML and CTF/CFT rules.

ESG consulting

We offer specialised ESG compliance services for asset managers to meet the regulatory expectations on climate risk management including drafting frameworks, policies and procedures, relevance and threshold assessments, investor disclosures and UN PRI filings.

• One dedicated team
• Unrivalled technical experience
• Committed service delivery

• Deep regulatory expertise: We boast a team of over 100 compliance experts in Asia. We’re at the forefront of regulatory changes, proactively monitoring shifts in the regulatory landscape, ensuring compliance amidst regulatory evolution
• Global presence: Our regulatory compliance services cover various jurisdictions, providing clients with comprehensive solutions that align with international standards while considering local nuances
• Proven track record: Beyond regulatory compliance, we excel in broader fund and investor services, with an unrivalled offering to meet the administration, compliance and reporting needs. We provide clients with integrated solutions that cover the entire fund lifecycle
• Client-centric approach: We prioritise a client-centric approach. By recognising the unique needs of each client, we provide customised compliance solutions that ensure regulatory strategies align seamlessly with specific operational and strategic requirements

Contact us today to learn more about our comprehensive regulatory compliance services.