Our Team, Your Partner
The Compliance Consulting Company was founded in 2003. It was the first professional compliance services provider in Hong Kong.
Our highly consultative and bespoke approach distinguishes us amongst our peers. In the past 16 years, we have served over 400 licensed corporations, registered institutions and listed companies providing one-stop compliance services and solutions. We are proud to have delivered high quality services to a diverse range of clients. Here are some examples:
Applied for an asset management license on behalf of a subsidiary of a state-owned bank, which now outsources their compliance work to us.
As of June 2019, we provide compliance services to over 80 licensed corporations in Hong Kong on a retainer basis, covering the following regulated activities:
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Type 1- Dealing in Securities
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Type 2- Dealing in Futures Contracts
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Type 3- Leveraged Foreign Exchange Trading
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Type 4- Advising on Securities
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Type 5- Advising on Futures Contracts
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Type 6- Advising on Corporate Finance
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Type 9- Asset Management
Conducted a compliance review for an American based hedge fund which has over US$30 billion assets under management.
Compliance Policies and Procedures
Drafted the compliance policies and procedures for a global asset manager’s joint venture in the Shanghai Free Trade Zone.
Performed a comprehensive risk-based compliance assessment and review on the corporate governance practice of a Hong Kong listed company.
Designed and constructed the compliance framework for one of the largest insurance companies’ wealth management subsidiary in Hong Kong.
Our Mission
Our mission is to help our clients establish and strengthen their key compliance framework and practices to enhance the effectiveness, efficiency and agility of their companies’ competitive efforts.
We listen, understand, and we are solution-oriented.
Contending with the most complex and ever-changing regulatory environment requires the best experts. Building our firm with that at the forefront of our minds, our elite team is uniquely qualified to help our clients build companies with strong compliance culture. The depth of experience and insight we have gained as pioneer of the industry in Hong Kong proves invaluable in giving our clients the requisite tools for running their business with greater certainty.