SFC Licensing and Compliance

We offer cutting-edge experience in all areas of licensing and compliance work.

Strong technical knowledge; good relationships with the regulators; and an instinctive grasp of how regulations will be applied – these are the key attributes of a successful licensing and compliance team. We are delighted when our clients praise our lawyers’ knowledge of Hong Kong’s regulatory requirements, and our good working relationship with the Securities and Futures Commission (SFC), to the independent researchers at Legal 500 Asia Pacific. Our SFC licensing and compliance lawyers have also received a number of accolades over the years, including being recognised as the Asian-MENA Counsel Firm of the Year for Compliance and Regulatory work.

Our dedicated team comprises former regulators, in-house counsel and compliance and audit professionals and has considerable experience in licensing and compliance matters of all types.

Scope of Services

Licensing

• Assisting local and global fund managers, asset managers, investment advisors, distributors and brokers obtain SFC licences
• Advising on licensing compliance hurdles such as the approval of new substantial shareholders and regulatory breaches

Compliance

• Advising clients on the Securities and Futures Ordinance and the rules and codes of the SFC
• Assisting financial services companies with regulatory inspections and investigations, pre-inspection onsite reviews, compliance manuals and other internal policies, compliance training, and compliance system set-up

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