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On-going Support

CompliancePlus Monthly Ongoing Services Plan

We provide on-going support to assist licensed firms and licensed individuals to meet their licensing obligations. Our on-going support focuses on high-value added  and customized services to address specific needs of licensed firms and licensed individuals:

  • Provide unlimited telephone and email consulting
  • Free access to online client portal with training videos, compliance calendar, forms, policies and checklists, etc.
  • Conduct quarterly compliance conference call
  • Conduct annual mock regulatory visit with report and recommendations
  • Review Financial Resources Return (FRR) and Business & Risk Management Questionnaire (BRMQ)
  • Provide AML/KYC name search service using LexisNexis
  • Provide monthly regulatory updates and events reminder
  • Provide compliance folder with all necessary forms and procedural manual
  • Review compliance policies and procedures
  • Provide compliance training
  • Handle regulator correspondences and enquiries
  • Ad hoc compliance advice and assistance

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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
  • Family Office Compliance
  • Marketing Materials Review
  • Online CPT Training
  • Money Lender License
  • MSO License
  • Insurance Brokers License
  • TCSP License
  • Trust Company Registration
  • Online CPD Courses
  • On-site Review
  • KYC / AML Services
  • Compliance Training
  • Virtual Assets / VASP/ 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 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

  • 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 (Nov 2023)
  • Regulatory News (Oct 2023)
  • Regulatory News (Sep 2023)
  • Regulatory News (Aug 2023)
  • Regulatory News (Jul 2023)

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