ASJ Consultants Limited is an independent boutique consulting firm and aims at providing sustainable compliance and license application consulting services (e.g. SFC , etc.) for different clients such as local securities firm, overseas private equity managers, hedge funds or wide-ranged financial group, etc.
Our professional team members have diversified experience in the industry, which include lawyers, previous experienced Responsible Officers, Chief Operating Officers, Head of Compliance, etc. background. Not only do we possess strong practical experience, but we are also committed to ensure the scope of works are in line with our clients’ expectation and budget. Open and direct communication around these issues is key to maintain constructive and positive relationships.
We offer our professional services from the initial company set up to SFC license application, sustainable ongoing compliance support and one-stop business advisory services for our clients
Our services include:
- Company registration
- Assist bank account opening
- Accounting and Audit
- Business Planning
- Office set up support
- SFC license application
- Strategic partnership introduction
- Responsible Officer recruitment
- SFC-compliant cyber security support
Sustainable ongoing compliance and business Support
For existing business operation in Hong Kong, we can offer an on-going compliance advisory services to fulfil regulatory requirement about internal control and competent.
Our services include:
- Compliance review and audit
- Regular compliance outsourcing
- Operations and Compliance manual review and update
- FRR preparation and review
- Regulatory news updates
- Representatives and Responsible Officers’ replacement and new application
- Handling application of new regulated activities in the SFC licensing regime
Ad hoc Projects
For specific requests, we offer support on a project basis.
Our services include:
- Apply for addition of regulated activities;
- Acquire/ dispose SFC licensed corporations;
- Application for change of substantial shareholders and uplifting licensing conditions;
- Licensed corporations’ cessation of business and liquidation support;
- Offshore fund / Open-ended Fund Company (OFC) setup, coordination of regular Directors’ meeting and preparation of Board minutes file to relevant bodies, including but not limited to CIMA;
- Fund raising and operations due diligence;
- Coordinate to provide legal support on SFC investigation;
- Compliant handling policy and assist to handle customer complaint(s);
- Review Internal Control Procedures;
- Sales of OTC products, product due diligence and suitability obligation; and
- Anti-money laundering (AML), Counter-terrorist financing (CTF) & Client due diligence (CDD) procedure review.