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Special Projects

The regulatory environment is constantly changing, making compliance obligations on licensed firms and fund management companies even more complicated and uncertain than ever before. Each licensed firm and fund management company is unique in their compliance culture, funds products offered to customers, scale of their business and their organization structure.

Therefore, we understand that each fund management company faces its own unique challenges in meeting their compliance obligations. We offer tailor-made special projects including, but not limited to, the following:

  • Due diligence reviews on services providers
  • Special start-up package or introduction briefing for start-up fund or new market participants on licensing and regulatory matters
  • Consulting services on setting up of compliance team
  • Secondment of compliance staff to bridge short term needs of clients
  • Special compliance surveillance and secret customers services
  • Translation services; and
  • Other customized services.

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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 / 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 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

  • 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
  • Bloomberg: Deutsche Bank Stops Sponsoring H.K. IPOs on Staffing Lapse

Latest Regulatory News

  • Regulatory News (Feb 2023)
  • Regulatory News (Jan 2023)
  • Regulatory News (Dec 2022)
  • Regulatory News (Nov 2022)
  • Regulatory News (Oct 2022)

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