1. Licence Application

• Assessing the qualifications of licensed persons, analysing and reviewing their biographical information

• Advising on company structure and business plans

• Preparing licence application documents, including reviewing and amending application forms, assisting in the preparation of compliance manuals and all other necessary documents for licence applications

• Assessing and reviewing potentially contentious issues and making early recommendations and solutions

• Preparing and submitting licence applications

• Liaising with regulators

• Handling questions and drafting replies from regulators during the licence application process

• Negotiation of licence conditions

• Liaising with other advisers as necessary to ensure that legal, tax and accounting issues relating to licence applications are resolved, acting as an intermediary between the client and the regulators

• Monitor the entire application process to ensure that questions from regulators are answered in a timely manner.

• Follow up with clients on the licence application process in real time and assist clients in obtaining the relevant licence within a reasonable timeframe.

 

2. Outsourcing Services

• Setting up a compliance system for the company
• Assisting in handling all correspondence and statutory filings with regulators
• Provide compliance advice as required by your company
• Reviewing and updating compliance policies and procedures
• Issuing regular circulars for regulatory updates and press releases
• Designing manuals of commonly used compliance forms and procedures
• Handling regulatory review questions
• Processing all licence applications
• Conduct regular compliance reviews
• Unlimited telephone and email enquiries on compliance matters

 

3. Compliance Training

• Provide in-house training programmes tailored to the compliance needs of enterprises of different sizes.

 

4. Financial Technology Compliance Consultation

• SFC Virtual Asset Trading Platform (VATP) Licence Application
• SFC Virtual Asset Service Provider (VASP) Licence Application
• Security Token Offering (STO)
• Blockchain and cryptocurrency related businesses
• Artificial Intelligence Compliance Consultancy
• Fintech Compliance Study
• Fintech company licence application and internal management compliance consultation
• Data Privacy Compliance Services
• Network security policies and procedures
• Non-face-to-face/remote customer account opening issues and related file reviews
• Review of online service agreements and website terms and conditions and disclaimers
• Anti-money laundering checks and on-site audits
• Customer suitability and risk profile counselling
• Anti-Money Laundering Personality (AML) identity checks and sanctions list screening 

 

5. Environmental, Social and Governance (ESG) Consultation     ​​​​​​​

• Assistance with ESG policy development

• ESG Certification

• ESG Training

        

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