• Client Area
  • English English English en
  • 繁體中文 繁體中文 Chinese (Traditional) zh-hant
  • 简体中文 简体中文 Chinese (Simplified) zh-hans
CompliancePlus Consulting Limited
  • Home
  • About Us
    • Consulting Team
    • Research Team
  • Services
    • SFC Licensing
    • On-going Support
    • ESG Compliance
    • Online AML IRA Tool
    • US SEC Compliance
    • Family Office Compliance
    • Marketing Materials Review
    • Online CPT Training
    • Money Lender License
    • MSO License
    • Insurance Brokers License
    • TCSP License
    • Trust Company Registration
    • KYC / AML Services
    • Virtual Assets / VASP/ Fintech Advisory
    • On-site Review
    • Funds Authorisation
    • Offshore Fund Setup
    • Special Projects
    • Visa Applications
    • Online Store
    • Recruitment
  • Experiences
  • Research
    • CP Insights
    • Resources
    • SFC Submissions
    • Other Submissions
    • Compliance articles
  • News
  • Contact Us
  • Careers
  • Search
  • Menu
Slide background

CP Insights

  • January 2021: SFC ESG Proposal Webinar Survey
  • December 2020: Hong Kong Finance Professionals Industry Survey 2020
  • December 2018 : CompliancePlus Industry Survey 2018
  • April 2018 : HK SFC Report on the Thematic Review of Licensed Corporations Engaged in Sponsor Business
  • March 2018 : HK SFC Enforcement Reporter – Watchlist for 2018
  • February 2018 : SFC Report on the Thematic Review of Best Execution – Redefine “Best” execution?
  • January 2018 : Latest Revision of the HK SFC Code of Conduct
  • December 2017 : Revision of HK SFC Fund Manager Code of Conduct – A New Wave of Regulatory Revolution in Hong Kong Asset Management Industry
  • November 2017 : Nine Deficiencies in Managing Funds and Discretionary Accounts
  • October 2017 : Bitcoin fund
  • September 2017 : Bitcoin – The Digital Currency and its Regulatory Issues
  • August 2017 : Is the Age Of Robo-Compliance-Advisors Arriving?
  • July 2017 : The New Third Board – Way to safeguard HK’s leading IPO position?
  • June 2017 : Financial Institutions (Resolution) Ordinance – Safeguarding the stability of our financial infrastructure
  • May 2017 : Anti-Money Laundering and Counter Terrorist Financing
  • April 2017 : SFC to Re-define Professional Investors Yet Again
  • March 2017 : Cybersecurity- How to Step into the Cloud and Avoid the Thunderstorms
  • February 2017 : Enhance Asset Management Regulation and Point-of-sale Transparency 
  • January 2017 : Manager-in-Charge
  • CP Insights
    • CompliancePlus Industry Survey 2018 Results Presentation
  • Resources
  • SFC Submissions
  • Other Submissions
  • Compliance articles

Latest Press Release

  • CompliancePlus Advises on Endowus’ Successful Digital Advisor SFC Licenses Application
  • CompliancePlus Donated 10,000 COVID-19 Rapid Antigen Test Kits
  • CompliancePlus Announces Support for the Task Force on Climate-related Financial Disclosures
  • CompliancePlus has been supporting distance online learning program for children suffering from cerebral palsy in mainland through partnership with Silver Lining Foundation
  • CompliancePlus presented awards to winners of Clinical Legal Education Book Prize 2019 in HKU

Latest Media Coverage

  • Mingpao Article on Attracting Family Offices to Hong Kong
  • HKEJ Article on Increasing Licensing Efficiency by SFC and Optimising Online Application
  • Bloomberg: Hong Kong Exodus Forces Market Watchdog Staff Into 12-Hour Days
  • FT/ Ignites Asia: Smaller firms still ‘puzzled’ over HK climate risk disclosure demands
  • Mingpao article on Impacts of the National Security Law on the Financial Industry in Hong Kong

Latest Regulatory News

  • Regulatory News (Apr 2023)
  • Regulatory News (Mar 2023)
  • Regulatory News (Feb 2023)
  • Regulatory News (Jan 2023)
  • Regulatory News (Dec 2022)

Search

© Copyright - CompliancePlus Consulting Limited       Disclaimer      Privacy Statement
Scroll to top