We cater to a diverse array of financial institutions and have consistently upheld a strong track record over the years, evidenced by the following achievements:
.
➢ Act as the principal compliance advisor for a China-based asset management firm (Type 9) boasting a substantial multi-billion-dollar asset portfolio under management. Our involvement encompassed various aspects, including guiding the company through the SFC license application process, providing continuous compliance assistance, and formulating comprehensive compliance policies and procedures. Notably, our client is a fully-owned subsidiary of the State-owned Assets Supervision and Administration Commission of the State Council (SASAC), underscoring our engagement with esteemed entities at the national level.
➢ Our team assumed the role of principal compliance advisor for a China-based financial conglomerate (operating under Type 1, 4, and 9 licenses), possessing significant ownership interests in numerous companies listed on the Hong Kong Exchange. In this capacity, we managed inquiries from the Securities and Futures Commission (SFC) related to Market Misconduct. Additionally, we played a pivotal role in enhancing the conglomerate’s internal control mechanisms, thereby fortifying its overall compliance framework.
➢ Our team assumed the position of lead project manager for a People’s Republic of China (PRC) State-Owned Enterprise (SOE) securities firm, which holds a market capitalization of RMB 40 billion. This firm operates under Type 1 and Type 2 licenses. Our responsibilities centered around overseeing various aspects of account opening procedures, including Know Your Customer (KYC) protocols, Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) measures, Customer Due Diligence (CDD) processes, Professional Investor (PI) assessment, and suitability obligations, among other pertinent components.
➢ Our professional team served as a compliance consultant for a financial subsidiary holding Type 1, 4, and 9 licenses, affiliated with a media company listed on the GEM board. Our role encompassed providing valuable support across various domains, including account opening procedures, facilitation of fund set-up and launch, as well as ongoing compliance assistance.
➢ In the capacity of Lead Regulatory Consultant, our team undertook the responsibility of overseeing the application process for multiple Hong Kong-registered Open-ended Fund Companies (OFCs). This role entailed serving as the primary liaison between various stakeholders, including legal counsel, regulatory authorities, fund administrators, prime brokers/custodians, and auditors.
We are pleased to highlight the achievement of obtaining approval under the SFC Grant Scheme, a noteworthy accomplishment that resulted in the coverage of 70% of eligible expenses. This accomplishment underscores the effectiveness of my strategic approach and meticulous coordination in the regulatory landscape.
➢ In the capacity of a Compliance Consultant, our team was engaged by a Hong Kong-based corporation that holds both Type 4 and Type 9 licenses. This corporation is under the ownership of a prominent business magnate in Hong Kong. Our role centered around enhancing the company’s licensing conditions, particularly in relation to the authorization to hold client assets.