Professional Services
From company incorporation to SFC licensing, we offer a one-stop business advisory service, including:
• Company incorporation, assistance with bank account opening and work visa applications;
• Business planning and advice on SFC licence applications;
• Introductions to strategic partners and facilitation of resource sharing;
• Office setup and implementation of IT and cybersecurity infrastructure to meet applicable SFC requirements;
• Recruitment of Responsible Officers (“ROs”); and
• Ongoing compliance support.
For clients with established operations, we provide ongoing compliance advisory services to help maintain effective internal controls and meet applicable regulatory requirements. Our services include:
• Business compliance reviews and audits;
• Assistance with regulatory filings for individual and corporate licensees;
• Review and updating of investment, risk management and financial policies, and compliance and operations manuals;
• Assistance with SFC enquiries, client complaints and complaints referred by the SFC;
• Preparation and review of financial returns under the Securities and Futures (Financial Resources) Rules (“FRR”);
• Updates on regulatory developments;
• Applications for the appointment or replacement of licensed representatives and ROs;
• On-site training on changes to SFC rules and regulatory requirements;
• Review of annual business and risk management questionnaires before submission to the SFC; and
• Advice and support on client account-opening procedures, including know-your-client (“KYC”) and anti-money laundering (“AML”) requirements.
