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.
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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
Partner
Viann SIN
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