We provide thorough and practical compliance consulting services to assist financial institutions including hedge fund managers and fund management companies in identifying their risk matters and compliance issues to ensure their compliance function is effective.
Our licensing team has handled over 300 licence applications for hedge funds, retail funds, financial advisers, securities companies, sovereign funds, private equity funds and their employees to obtain necessary SFC licenses for their businesses.
Our licensing team:
- Assess qualifications for RO and review CV for RO
- Advise on corporate structure and business plan
- Prepare and submit licensing applications
- Liaise with SFC case officers
- Handle SFC correspondences and requisitions
- Negotiate licensing conditions
- Prepare compliance manuals and other necessary documents for license application
- Liaise with other advisers if necessary to ensure that the important legal, tax and accounting issues related to the applications are addressed
SFC new Competency Framework for Intermediaries and Individual Practitioners
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To learn more, please email [email protected]