We have served over 100 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
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Providing on-going compliance support to a mega hedge fund with AUM over USD 3 billion
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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
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Conducting a mock SFC visit to a billion dollar hedge fund and providing recommendations on improvement and implementation procedures
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Conducting mandated compliance review on behalf of investors on a Greater China hedge fund
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Assisting in regulatory review for a US based fund of funds manager
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Providing on-site regulatory inspection support to a local hedge fund manager with AUM over USD 100 million
Special Projects
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Designing compliance monitoring plan and updating compliance manual for an established fund of funds manager in Asia
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Providing tailor-made compliance training and workshop to one of the leading mutual fund companies in the world with AUM over USD 300 billion.
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Assisting in regulatory updates to a leading UK insurance group on SFC regulatory changes
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Reviewing compliance manual and operation framework for an established fund of hedge funds
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Assisting a hedge fund client in resolving shareholders dispute and handling regulatory issues
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Assisting a leading Korean financial group on Chinese wall and handling of price-sensitive information
