Hong Kong – Securities and Futures Commission (SFC) Compliance Support
We offer a range of services to help businesses operating in Hong Kong to improve performance, meet compliance obligations, and achieve their goals.
From strategic planning to training implementation, our team delivers tailored solutions across industries. We provide timely, practical advice when you need it, with clear, plain-language explanations to help you navigate regulations, optimise operations, and enhance competitiveness and efficiency.
SFC Licensing
Financial services businesses looking to establish in Hong Kong for the first time, or extend into new business lines from an existing entity, may need to seek a license from the SFC.
Drawing on experience as former regulators and from in-house compliance roles, our team has a deep understanding of what is required from the SFCs perspective. We can help you to understanding your regulatory obligations, prepare your application and support you in responding to queries throughout the licensing process.
Compliance Monitoring
Compliance monitoring is vital to enable firms to identify and remediate issues early. Effective compliance monitoring requires time, expertise and independence, and as a result smaller firms and international branches and subsidiaries are often ill-equipped to do this themselves.
We can carry out your routine compliance monitoring on an outsourced basis or identify areas of key regulatory risk for your firm that we thematically review to supplement your internal monitoring. Either way, we will work with you to develop a risk-based monitoring plan that suits your needs and provide you with a regular report with our findings.
Compliance Health Checks and Mock Inspections
We can review your compliance framework and give our view on whether your arrangements meet regulatory requirements and expectations, and how you compare to your peers. We can review your policies and procedures, sample files, and speak to your staff, and then advise you on whether we see any compliance risks or issues and how these can be addressed.
This service is particularly useful for international firms looking for reassurance that a local entity is aligned both to the group compliance framework, and also the nuance of local regulatory requirements.
Regulatory Projects
Our team brings proven subject-matter expertise across key regulatory areas, including Financial Crime, Market Misconduct, Best Execution, Derivatives Reporting and Exchange Rules Compliance. We have delivered stand-alone projects for a wide range of firms, helping them navigate complex requirements with clarity and confidence.
We understand the challenges these regulatory topics create, and our experience spans both regulated firms and the regulator itself. Whether you need a second opinion on how ever-evolving rules may impact your firm, or hands-on support with detailed reviews and implementation, we can provide bespoke services to suit your needs. We pride ourselves on providing a people-led, collaborative service, ensuring that any enhancements are proportionate, practical, and aligned to the realities of your business.