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Funds Authorisation

Innovation of investment products is important in a competitive business environment while compliance of funds and financial products are equally required for protecting the interests of fund management companies and their customers. Our team members have experience in fund authorisation with regulators and restructuring existing funds. Funds authorisation services can be provided are as follows:

  • Handling Mainland-Hong Kong Mutual Recognition of Funds
  • Reviewing fund prospectus and offering documentation, including prospectus updating and addendum consolidation
  • Reviewing marketing materials and sales brochures to ensure compliance with regulatory requirements and accuracy and consistency of the information and materials
  • Assisting in offshore fund authorisation
  • Special funds/products consulting services, such as structuring QFII funds and its operational structure etc.
  • Consulting services on setting up of mutual funds including structuring brand new umbrella funds, products feature complications assessments and coordination with other services providers
  • Handling funds registration/authorization and managing fund approval process with regulator
  • On-going regulatory compliance services for funds and products upon fund authorization
  • Regulatory news alert services on compliance requirements for funds products to ensure on going compliance
  • Conducting regulatory due diligence on distributors and documentation for fund distributions
  • Reviewing and preparing communication to investors
  • Assessing new products feasibility and entry to new investment markets
  • Providing products or fund features, fee structures comparison and products trend updating services; and
  • Consulting services on funds termination, liquidation and closure of funds operation and offices, including co-ordination with other services providers and regulators

To learn more about our funds authorization services, please email info@complianceplus.hk

  • SFC Licensing
  • Marketing Materials Review
  • On-going Support
  • Online CPT Training
  • Money Lender License
  • MSO License
  • Insurance Brokers License
  • TCSP License
  • Online CPD Courses
  • On-site Review
  • KYC / AML Services
  • Compliance Training
  • Fintech Advisory
  • Funds Authorisation
    • PRC-HK Mutual Recognition of Funds
      • Supplemental Details
  • Offshore Fund Setup
  • Special Projects
  • Visa Applications
  • Recruitment

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

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