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 know more about a Training Program on Hong Kong Retail Funds Authorizations and related compliance requirements
Submit online enquiry
To learn more abour our funds authorization services, please email info@complianceplus.hk