• Client Area
  • English English English en
  • 繁體中文 繁體中文 Chinese (Traditional) zh-hant
  • 简体中文 简体中文 Chinese (Simplified) zh-hans
CompliancePlus Consulting Limited
  • Home
  • About Us
    • Consulting Team
    • Research Team
  • Services
    • SFC Licensing
    • Marketing Materials Review
    • On-going Support
    • Online CPT Training
    • Money Lender License
    • MSO License
    • Insurance Brokers License
    • TCSP License
    • KYC / AML Services
    • Fintech Advisory
    • On-site Review
    • Funds Authorisation
    • Offshore Fund Setup
    • Special Projects
    • Visa Applications
    • Recruitment
  • Experiences
  • Research
    • CP Insights
    • Resources
    • SFC Submissions
    • Other Submissions
    • Compliance articles
  • News
  • Contact Us
  • Careers
  • Search
  • Menu
Slide background

We have served over 500 financial institutions including hedge funds, fund managers, private equity funds, sovereign funds, fund of funds, insurance groups and brokerage firms in Asia. We have helped some of the most recognized hedge funds and asset managers in Asia and around the world on licensing, on-going support, and other regulatory matters.  We are renowned for superb quality of work, good client management, and swift turnaround time.  We have established a strong reputation in the industry that over 70% of new clients are referred by existing clients or by industry. A small sampling of our work includes:

Licensing
  • Advising a top-tier hedge fund manager from PRC to obtain SFC Type 4 and 9 license  in Hong Kong
  • Obtaining SFC Type 4 and 9 license for several hedge fund managers in Hong Kong
  • Advising on SFC license process for several top tier mainland fund management companies establishing presence in Hong Kong
  • Setting up of a US$200 million QFII fund domiciled in Korea
  • Setting up of a Cayman domiciled multi-strategies hedge fund
  • Advising on starting up of several Hong Kong based hedge fund managers
  • Advising on a launch of a special situation fund in Asia
  • Advising on a sovereign fund for establishing presence in Hong Kong handling all the related compliance and regulatory matters
On-going Support
  • Providing on-going compliance support to a mega hedge fund with AUM over USD 3 billion
  • Providing tailor-made monthly compliance services to an asset management company with Exchange Trade Fund listed in Hong Kong Stock Exchange for on-going compliance
On-site Review
  • Conducting a mock SFC visit to a billion dollar hedge fund and providing recommendations on improvement and implementation procedures
  • Conducting mandated compliance review on behalf of investors on a Greater China hedge fund
  • Assisting in regulatory review for a US based fund of funds manager
  • Providing on-site regulatory inspection support to a local hedge fund manager with AUM over USD 100 million
Special Projects
  • Designing compliance monitoring plan and updating compliance manual for an established fund of funds manager in Asia
  • Providing tailor-made compliance training and workshop to one of the leading mutual fund companies in the world with AUM over USD 300 billion.
  • Assisting in regulatory updates to a leading UK insurance group on SFC regulatory changes
  • Reviewing compliance manual and operation framework for an established fund of hedge funds
  • Assisting a hedge fund client in resolving shareholders dispute and handling regulatory issues
  • Assisting a leading Korean financial group on Chinese wall and handling of price-sensitive information

Subscribe Newsletter

Latest Press Release

  • CompliancePlus presented awards to winners of Clinical Legal Education Book Prize 2019 in HKU
  • CompliancePlus celebrates 10-Year Anniversary
  • CompliancePlus sponsored Master Insight Financial and Economic Forum 2019
  • CompliancePlus partners with Oriel College, Oxford to promote cross border exchanges
  • CompliancePlus presented prizes to HKU law graduates

Latest Media Coverage

  • HKEJ article on the Management and Disclosure of Climate related Risks by Fund Managers
  • Bloomberg TV Live Interview: Hong Kong Sanctions Could Threaten Banks
  • AsianInvestor: Capital flight from Hong Kong “set to spike”
  • Reuters: How financial firms in Hong Kong may be affected by U.S. sanctions
  • SCMP: National security law: Hong Kong’s financial institutions gripped by anxiety over United States sanctions

Latest Regulatory News

  • Regulatory News (Feb 2021)
  • Regulatory News (Jan 2021)
  • Regulatory News (Dec 2020)
  • Regulatory News (Nov 2020)
  • Regulatory News (Oct 2020)

Search

© Copyright - CompliancePlus Consulting Limited       Disclaimer      Privacy Statement
Scroll to top