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SFC Licensing

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]

  • SFC Licensing
  • On-going Support
  • ESG Compliance
  • Online AML IRA Tool
  • US SEC Compliance
  • Marketing Materials Review
  • Online CPT Training
  • Money Lender License
  • MSO License
  • Insurance Brokers License
  • TCSP License
  • Online CPD Courses
  • On-site Review
  • KYC / AML Services
  • Compliance Training
  • Virtual Assets / Fintech Advisory
  • Funds Authorisation
    • PRC-HK Mutual Recognition of Funds
      • Supplemental Details
  • Offshore Fund Setup
  • Special Projects
  • Visa Applications
  • Online Store
  • Recruitment

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

  • 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
  • Bloomberg: Deutsche Bank Stops Sponsoring H.K. IPOs on Staffing Lapse
  • HKEJ article on the Management and Disclosure of Climate related Risks by Fund Managers

Latest Regulatory News

  • Regulatory News (Jul 2022)
  • Regulatory News (Jun 2022)
  • Regulatory News (May 2022)
  • Regulatory News (Apr 2022)
  • Regulatory News (Mar 2022)

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