Compliance Commit HK

About

Passion. Experience. Diligence.

Why Compliance Commit HK?

Compliance Commit HK is one of the competitive compliance consulting firms in Hong Kong. We endeavor to provide all-rounded and tailor-made services to start-up and established financial institutions like asset managers, hedge funds, private equity funds, family offices, broker-dealers, insurers, corporate financial advisers and wealth managers.
 
Our staffs comprise experts with different knowledge and experience :
▶   SFC Compliance
▶   Insurance Compliance
▶   Company Secretarial
▶   IT Support
▶   Cyber-security
▶   Investigation & Due Diligence
 
Our team speaks fluent English, Mandarin and Cantonese. Each client receives tailor-made services from dedicated and experienced consultants at a flexible cost.

 

Get in touch

We at Compliance Commit HK know that finding the right person  to offer you an advice is a choice not to be taken lightly. That’s why we offer free consultations to walk you through your needs, the scope of your goals, and your budget.

Book an appointment ▸

 
 

Consulting Team

 
 

Founding Partner

Ross LAM

Career Background
- Financial advisory and FX trading
- Head of Solutions of UK-listed company
- Corporate Finance & Pre-IPO Planning and Advisory

Expertise
- IT management and consultancy
- Payment solutions and implementation

 

Qualifications
• CFA-chartered in 2012
• PMP
• CISSP

 

 
 

Founding Partner

Ryan LAU

Career Background
- Head of Legal and Compliance & Money Laundering Reporting Officer, listed FI in HK
- Principal Consultant, US-based investment management consultancy firm
- Investigator, Independent Commission Against Corruption (ICAC)
 
Expertise
- More than 13 years of compliance advisory experience
- Advising SFC compliance (particularly brokerage and investment management area)
- Advising AML compliance
- Handled various financial investigations

 

Qualifications

• Hong Kong Securities Association Member

 

 
 

Partner

Viann YU

Career Background
- Head of Legal and Compliance department and Group Company Secretary of a local Bank with regulated financial services business in HK
- Manager, Legal and Compliance of a UK-based fund and trust asset management group
- Senior Paralegal, Legal & Compliance, international subsidiaries of a US listed bank
- Corporate Legal Secretary, an International Law Firm, participated in various IPO and listing projects

Expertise
- Company incorporation and setup, liquidation and deregistration
- Group restructuring
- Company secretarial service for private companies and SPV entities, regulatory filings and annual maintenance
- listing compliance and company secretarial services for HK listed companies
- Fund and Trust registration, regulatory filings and annual maintenance
- SFC licensing application for companies, ROs and RMs
- FATCA and CRS reporting
- Visa applications

 

Qualifications
• HKICS, ACIS, (Chartered Company Secretary in Hong Kong and United Kingdom) 10+ PQE

 

 
 

Partner

Derrick CAI

Career Background
- Head of Compliance of an asset manager with total AUM more than USD 5 billion
- Senior Manager (advisory team) of a Big Four accounting firm

Expertise
- Asset management compliance

 

Qualifications
• CPA
• FRM

 

 
 

Partner

Jessica SUEN

Career Background
- Head of Compliance of a listed financial group covering brokerage, corporate finance, asset management and money lending businesses
- Deputy head of compliance of a regional consultancy firm

Expertise
- Client onboarding such as KYC/AML checks
- Due diligence reviews on services providers
- Regulatory licensing and appication

  • HK SFC License
  • HK Money Lender License
  • HK Money Service Operator License
  • HK Insurance Broker License
  • UK API and SPI License

 

Qualifications
• CAMS (Certified Anti-Money Laundering Specialist)
• ICA Certificate in AML