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Resources

  1. Recent key regulatory issues and points to note for Applying for SFC Licenses (March 2024) / 近期香港证券及期货事务监察委员会(SFC)申请牌照的关键监管问题和注意事项 (2024年3月)
  2. Hong Kong SFC Licensing and Registration of Depositaries of SFC-Authorised Collective Investment Schemes – Newly Added SFC Type 13 License
  3. Hong Kong Regulators’ Streamlined Approach for Compliance with Suitability Obligations When Dealing with Sophisticated Professional Investors
  4. Brief Note about SFC Business and Risk Management Questionnaire (BRMQ)
  5. Points To Note For SFC Revised Guidelines On Competence And Continuous Professional Training
  6. Points To Note On Cross-Border Marketing Activities
  7. Brief Note about the Talents Admission Schemes that explains the features of different schemes and points to note in applying for the visas.
  8. Note on SFC Regulatory Requirements on Virtual Asset Trading Platform License
  9. Note on Ongoing Compliance Requirements for Money Lender License
  10. Note on Ongoing Compliance Requirements For Money Services Operators (MSO) License
  11. Points to note on Applying for Entrepreneurs Visa
  12. Points to note on Applying for Working Visa
  13. Brief notes on applying for Type 10 (Credit Rating Services) License
  14. Brief notes on applying for Type 6 (Corporate Finance) License
  15. Application for Exchange Participantship and Trading Right in Hong Kong
  16. Presentation on FATCA
  17. Application for Money Service Operators License in Hong Kong (updated April 2016)
  18. Registration as a Trust Company in Hong Kong (updated April 2016)
  19. Business Continuity Plan for Hedge Fund Managers from Best Practices Perspective
  20. Brief Note on SFC Licensing
  21. Brief Note on Information Security and Data Integrity
  22. Hedge Fund Start-up Checklist
  23. Hedge Fund and Mediation
  • Resources
  • CP Insights
    • CompliancePlus Industry Survey 2018 Results Presentation
  • SFC Submissions
  • Other Submissions
  • Compliance articles

Latest Press Release

  • CompliancePlus presented awards to winners of Pro-bono Work in Clinical Legal Education Book Prize 2022-23
  • 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

Latest Media Coverage

  • Thomson Reuters Analysis – Chinese private fund managers face regulatory, cultural risks when moving into Gulf
  • 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

Latest Regulatory News

  • Regulatory News (Apr 2025)
  • Regulatory News (Mar 2025)
  • Regulatory News (Feb 2025)
  • Regulatory News (Jan 2025)
  • Regulatory News (Dec 2024)

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