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On-going Support

CompliancePlus Monthly Ongoing Services Plan

We provide on-going support to assist licensed firms and licensed individuals to meet their licensing obligations. Our on-going support focuses on high-value added  and customized services to address specific needs of licensed firms and licensed individuals:

  • Provide unlimited telephone and email consulting
  • Free access to online client portal with training videos, compliance calendar, forms, policies and checklists, etc.
  • Conduct quarterly compliance conference call
  • Conduct annual mock regulatory visit with report and recommendations
  • Review Financial Resources Return (FRR) and Business & Risk Management Questionnaire (BRMQ)
  • Provide AML/KYC name search service using LexisNexis
  • Provide monthly regulatory updates and events  reminder
  • Provide compliance folder with all necessary forms and procedural manual
  • Review compliance policies and procedures
  • Provide compliance training
  • Handle regulator correspondences and enquiries
  • Ad hoc compliance advice and assistance

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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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