SFC Compliance & Licensing

As investment activities of securities and futures are governed by the SFC, it is important for stakeholders to operate with good support from a legal team which has good technical knowledge, good relationships with the regulatory bodies and an intuitive grasp of the application of regulations. Our Asset Management & Funds team has solid experience in providing compliance and regulatory requirements for licensed corporations or persons, fund management companies, hedge fund managers and different types of financial institutions in Hong Kong and the PRC.

We provide valuable input and offer proactive and practical compliance solutions and recommendations to fund managers, private equity firms and independent financial advisors so that they are able to meet with the regulatory obligations under local licensing and compliance requirements.

For licensing, we provide assistance, guidance and advice throughout the entire licensing process. As for compliance, we offer off-site and on-site evaluation on the effectiveness of the compliance system and control currently in place.

If you would like to know more about our Asset Management & Funds practice or how we can help your business, please contact us at (852) 2810 1212 or at

Please refer to our articles in ‘Knowledge’

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