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SFC Licensing

We provide thorough and practical compliance consulting services to assist financial institutions including hedge fund managers and fund management companies in identifying their risk matters and compliance issues to ensure their compliance function is effective.

Our licensing team has handled over 300 licence applications for hedge funds, retail funds, financial advisers, securities companies, sovereign funds, private equity funds and their employees to obtain necessary SFC licenses for their businesses.

Our licensing team:

  • Assess qualifications for RO and review CV for RO
  • Advise on corporate structure  and business plan
  • Prepare and submit licensing applications
  • Liaise with SFC case officers
  • Handle SFC correspondences and requisitions
  • Negotiate licensing conditions
  • Prepare compliance manuals and other necessary documents for license application
  • Liaise with other advisers if necessary to ensure that the important legal, tax and accounting issues related to the applications are addressed

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To learn more, please email info@complianceplus.hk

  • SFC Licensing
  • 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

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

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