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Other Submissions

  1. Response to HKEX Questionnaire on Review of Listing Rules Relating to Disciplinary Powers and Sanctions (Sep 2020)
  2. Response to Questionnaire on New Board Proposal (Aug 2017)
  3. Response to Questionnaire on Review of Growth Enterprise Market (GEM) and Changes to the GEM and Main Board Listing Rules (Aug 2017)
  4. Submission to Open-Ended Fund Companies Consultation Paper issued by Financial Services and the Treasury Bureau (May 2014)
  5. Submission to the Consultation Paper on An Effective Resolution Regime for Financial Institutions in Hong Kong (Mar 2014)
  • Resources
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    • CompliancePlus Industry Survey 2018 Results Presentation
  • SFC Submissions
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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 (Aug 2023)
  • Regulatory News (Jul 2023)
  • Regulatory News (Jun 2023)
  • Regulatory News (May 2023)
  • Regulatory News (Apr 2023)

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