Unparalleled Industry Experiences
We have served over 500 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
Successfully helped over 300 licensed firms obtaining SFC licenses
- Advising and handling SFC licensing matters for leading Crypto issuers in China for building their asset management business presence in Hong Kong
- Obtaining SFC license for one of the largest family offices in China
- Applying for SFC license for one of the largest insurers in China for their asset management related business division in Hong Kong
- Applying for SFC Type 1 retail brokerage license and trading rights with Hong Kong Stock Exchange for a leading online brokerage company from China
- Advising a US-based global investment management firm to obtain SFC Type 1 license in Hong Kong
- Advising a leading Fintech firm from PRC to obtain SFC Type 1,4,9 licenses
- Advising a major European private bank to uplift license conditions in Hong Kong
- 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
Supported over 230 clients through our monthly ongoing compliance services
- Providing tailor-made monthly ongoing compliance services to a retail fund management company offering ETF products and offering marketing materials reviews and products launch advisory services
- Providing on-going compliance support to a mega hedge fund with AUM over USD 3 billion
- 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
Conducted over 30 mock SFC visits per year
- Assisted a SFC licensed corporation founded by a leading private banker in Hong Kong managing discretionary accounts for family office and ultra-high net worth individuals in handling SFC routine inspection
- Conducting a mock SFC visit to a billion dollar hedge fund and providing recommendations on improvement and implementation procedures
- Conducting mandated compliance review on behalf of investors on a Greater China hedge fund
- Assisting in regulatory review for a US based fund of funds manager
- Providing on-site regulatory inspection support to a local hedge fund manager with AUM over USD 100 million
SFC Retail / Authorized Funds
- Handling marketing materials review for an ETF provider in Hong Kong to facilitate their product launch and reviewing their risk disclosure wordings and marketing literature
- Handling fund registration of an Irish domiciled fund (ICAV) liaising with the SFC for a leading Insurance Company to establish their retail fund distribution presence in Hong Kong
- Drafting, preparing and reviewing Hong Kong Covering Document and Key Fact Statement in relation to SFC Retail/Authorized Funds registration matters
- Advising a leading mainland Retail Fund Management Company in Hong Kong on their potential launch of a retail Open-Ended Fund Company in Hong Kong, conducting product feasibility and early-stage documentation preparation and review
AML
- Conducting AML Institutional Risk Assessment for one of leading Retail Fund Houses in China on their SFC licensed company in Hong Kong
- Reviewing and updating AML manuals for SFC licensed Corporations, Money Lenders, Money Services Operators, Insurance Brokers and TCSP.
Training
- Offering online training on AML related matters to over 350 staff of a leading insurance company with tailor-made training materials
- Offering online trainings to the industry on SFC related compliance topics in the past 2 years with over 2000 online attendances as one of leaders online training providers in Hong Kong
Special Projects
- Reviewing suitability and risk profiling questionnaire for a leading insurance related asset management company to ensure their compliance on related clients’ suitability and product risk categorisations matters
- Advising on potential trade conflicts issues relating to a large IPO listing in Hong Kong for their Non-Executive Director
- Offering secondment of staffing resources to a few renowned global asset management companies
- Designing compliance monitoring plan and updating compliance manual for an established fund of funds manager in Asia
- Providing tailor-made compliance training and workshop to one of the leading mutual fund companies in the world with AUM over USD 300 billion.
- Assisting in regulatory updates to a leading UK insurance group on SFC regulatory changes
- Reviewing compliance manual and operation framework for an established fund of hedge funds
- Assisting a hedge fund client in resolving shareholders dispute and handling regulatory issues
- Assisting a leading Korean financial group on Chinese wall and handling of price-sensitive information