Compliance Commit HK

Compliance Commit HK

SFC Licensing Expertise


Committing to Compliance and Opportunities

Compliance Commit HK offers all-rounded and tailor-made services to start-up and established institutions like asset managers, hedge funds, private equity funds, family offices, broker-dealers, insurers, corporate financial advisors and wealth managers. We employ an innovative and cost-effective approach to compliance consulting and company secretarial services, assisting our clients to grow their business by providing professional compliance solutions, regulatory license application services, compliance training and company formation services. Our founders are distinguished by their diversified compliance expertise and regulatory experience in the financial sector. Assisted by a team of special-field consultants with hands-on knowledge and industry know-how, we ensure our clients receive proactive and practical professional advisory services that always keep your business needs in perspective.




8/F, MassMutual Tower,
33 Lockhart Road , Wan Chai , HK

(852) 6523-4939


Key Consulting Areas


Compliance Commit offers a SFC Manager-In-Charge (“MIC”) Compliance Review Package Services to ALL SFC licensed corporations in Hong Kong with one stop services including:
- SFC MIC compliance evaluation for submission to the SFC
- Templates on organizational chart, board resolution and governance structure


Regulator may conduct on-site reviews of licensees from time to time to ensure all regulatory requirements are met.  The best way to prepare for a regulatory visit is to conduct a mock review by Compliance Commit. We provide the most updated regulatory document checklist for your reference, prepare a detailed document checklist and conduct interviews with employees in your company to go through compliance and operational issues to ensure compliance with regulations.
We cover key compliance areas during an on-site review as follows:
- Review trading practices, including best execution, broker review processes, soft dollars and their disclosure
- Conduct risk assessments on operation and office in general
- Conduct assurance reviews
- Review privacy policy and statements, data protection and information security policies, business continuity plan, and website contents to ensure compliance
- Review and update staff code of ethics and procedures such as policy on errors reporting and escalation, potential conflicts of interests, personal dealing policy and gifts and benefits policy etc. in order to address latest regulatory concerns
- Review Anti-money Laundering policies and procedures


We provide thorough and practical compliance consulting services to assist financial institutions including fund management companies in identifying their risk matters and compliance issues to ensure their compliance function is effective.  Licensing service scope:
- Assess qualifications for Responsible Officer (“RO”) and review CV for RO
- Advise on corporate structure and business plan
- Prepare and submit licensing applications
- Liaise with SFC case officers
- Handle SFC correspondences and requisitions
- Prepare compliance manuals and other necessary documents for license application
- Liaise with other advisers if necessary to ensure that the important legal, tax and accounting issues related to the applications are addressed
- Submit online enquiry


We provide licensing application services for various types of licenses:
- HKEx Trading Rights
- Money Lenders License
- Money Service Operators License
- Insurance Brokers License
- Trust Company Registration


We provide on-going support to assist licensed firms and licensed individuals to meet their licensing obligations. Our on-going support focuses on tailor-made services to address specific needs of licensed firms and licensed individuals.  Service package:
1.      Monthly SFC Compliance Support (5-hours each month)
2.      Monthly SFC Compliance Support (unlimited hours each month)
3.      Short-term SFC Compliance Support (3-month / 6-month / 1-year)
- Provide unlimited telephone and email consulting
- Conduct quarterly compliance conference call
- Conduct annual mock regulatory visit with report and recommendations
- Provide monthly regulatory updates and events reminder
- Provide compliance folder with all necessary forms and procedural manual
- Review compliance policies and procedures
- Provide compliance training
- Handle regulatory correspondences and enquiries
- Ad hoc compliance advice and assistance


Our training programs include, but are not limited to the following:
- Online Compliance Training with CPT certificates awarded after completion
- Regulatory knowledge updating to general staff or specifically to compliance staff to update them with the latest regulatory knowledge and requirements
- RO obligations
- New hire training
- Licensing filing and regulatory notification requirements to regulators
- Anti Money Laundering / Know Your Client training
- Other training topics are also available upon request


President Kennedy remarked when kicking off the race to the moon in the early 60’s, we sometimes choose to do things not because they are easy, but because they are hard, like compliance
— Ashely Alder, SFC CEO


Get committed.

Use the form below to contact us regarding your enquiry. Please be as detailed as possible. Include your industry along with any specific document requests. To help us best service your enquiry, we recommend that you first describe the issue you’re having before telling us what you want to achieve. You may also email or call us to make an appointment.

For job opportunities, please email us your resume. We’re always looking for new and exceptional talent to join the team.

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Please do not include confidential or sensitive information in your message. In the event that we are representing a party with opposing interests to your own, we may have a duty to disclose any information you provide to our client.