Our Team, Your Partner
The Compliance Consulting Company was established in 2003 as the first professional compliance services provider in Hong Kong.
Since then, we have served over 400 licensed corporations, registered institutions and listed companies with one-stop compliance services and solutions. The diverse nature of clients is what provides our company with a unique perspective of client’s needs. We are proud to have delivered high quality services to these clients including but not limited to:
Applied an asset management license for a subsidiary of a state-owned bank and provide ongoing compliance outsourcing services
As of April 2019, we are providing compliance retainer services to over 80 licensed corporations in Hong Kong covering Type 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 3 (Leveraged Foreign Exchange Trading), 4 (Advising on Securities), 5 (Advising on Futures Contracts), 6 (Advising on Corporate Finance) & 9 (Asset Management) regulated activities.
Conducted compliance review for an American based hedge fund with over US$30 billion assets under management.
Drafted the compliance policies and procedures for a global asset manager’s joint venture in Shanghai Free Trade Zone.
Provided a comprehensive assessment of the corporate governance practice with recommendations for a listed company in HK.
Provided analysis and compliance framework design for a wealth-management subsidiary of one of the largest insurance companies in Hong Kong
By contending with the most complex and ever-changing regulatory environment, our team of seasoned and professional compliance experts strives to help clients to establish and strengthen their key compliance framework as well as practices so to meet regulatory and enterprise-wide compliance requirements.
We listen, understand and are solutions-oriented to help you and your company to enhance effectiveness, efficiency and agility of companies’ competitive efforts.