Be Smart, Be Vigilant
What are we good at ?
Discover Our Expertise
Licensing Application
We specialise in all SFC licenses applications including condition uplifting, e.g. margin financing, introducing broker and exchange participants.
We excel in corporate and shareholding restructuring to reduce application refusal rate.
We also assist with money lender licensing and operation.
Regular Compliance Services
We examine what licensed corporations are doing to stay relevant and competitive in this fast-paced world, and which ones are doing it best. We are your most reliable compliance service provider. We help with
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Thematic and complete range of compliance assessment and review
FRR review
Liquid capital calculation advisory
Potential Employee Due Diligence
Formulate compliance audit skeleton
Conduct periodic compliance checking programme
Offer training to comply with tailor-made compliance skeleton and procedures.
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Special and Ad-Hoc Compliance Service
With years of experience, our staff has the capabilities and expertise to take your compliance quality to the next level. At Compliance Capital Limited, we combine our insights and skills to transform your processes and strategies, and in turn, your company. We’re proud to help shape and improve how our clients structure and manage their business.
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Advise on License activities expansion
Advise on corporation and organisation restructuring
Advise on the acquisition of licensed corporation
Mock review and interview training before SFC on-site review
Urgent regulatory response review
Regulatory submission material review
Interview tactics analysis
Provision of advice on internal investigation/enforcement case
Policy revamp (including but not limited to FMCC, Product Suitability, NDA, Conflict Check, Wall Crossing and pre-sounding, General Compliance Manual, Best Execution, AML/CTF/KYC ,Staff Dealing
Advise on workforce formulation
CPT training
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Track Record
We managed to
apply for RA1 license within 3 months.
obtain approval in principle for RA 1 and 4 licenses for a Hong Kong-listed company in 2.5 months
obtain approval for RA4 and 9 License corporation within 3 months where one of the RO was subject to SFC disciplinary hearing in the past and was challenged about his fitness and properness.
obtain a RA6 license with sponsoring capacity
obtain a RA 3 license with introducing broker capacity for an oversea shareholder based company. The same was last granted in 2010.
We excel in advising on License Corporation acquisition, we
assisted Chinese SOE and Listed Company in acquiring licenced corporation.
completed a licensed corporation acquisition within 5 months for a listed company.
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We are your strongest shield and defence before regulatory enquiry. We adivsed on
RO disciplinary hearing
RA 1, 2, 4, 6 and 9 onsite inspection
Alleged market manipulation and insider dealing
ICAC related issue
SFC regulatory enquiry relating to SFO s114 and s115.
Regulatory bodies include HKSFC, HKMA, CSRC, CBRC, FED, SEC, FCA, MAS, AMCM
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Does your company need our services? Message us today.