Compliance Commit HK


For Businesses and Professionals

Areas of Consultancy



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


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


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

Company formation and registration

We offer the following services in Hong Kong and overseas:

- company incorporation and setup
- liquidation and deregistration

RMB Payment Solutions

Our partners have 10+ years in the payment industry specializing in RMB cross-border payment.  We provide RMB cross-border payment solutions to meet your corporate and funding needs.  Whether your need is funding into China or funding out of China, our consultants will advise on secure, swift and regulatory-compliant mode of fund transfers.


We specialize in company secretarial services for private companies and SPV entities, regulatory filing and annual maintenance.

Compliance Training

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

SFC On-site Review

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

 Special Review and Project

We offer tailor-made special review / projects including, but not limited to, the following:
- Due diligence reviews on services providers
- Special start-up package or introduction briefing for start-up fund or new market participants on licensing and regulatory matters
- Consulting services on setting up of compliance team
- Special compliance surveillance and secret customers services
- Internal staff investigation
- Other customized services

Other Licensing Application

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

Cyber security 

We partner with a Dutch cyber-security consultancy firm based in Hong Kong. This firm is specialized in providing defense consulting services in respect of the following attack areas to financial institutions under the SFC regime:
- Phishing
- Ransomware
- Network Security
- Social Engineering


We leverage our client network and our reputation in the market to recruit candidates such as ROs and compliance staffs.


Compliance Commit understands the needs of our clients that some of their staff may come from overseas countries and require working visas in order to work in Hong Kong and itinerant professional license if carrying out regulated activity in Hong Kong.
We help employees of our clients to get working visas and dependent visas for their families so that they can devote their full attention to the business.
- Manage your application and follow up with Immigration Department throughout the entire process
- Evaluate your specific circumstances and provide professional advice and tactics to expedite your application
- Prepare and organize documents to meet the specific requirements of the Immigration Department
- Present your case to Immigration Department to enhance chance of success

IT Implementation

We provide web and mobile application development, system implementation and integration, IT management consultancy services:
- Cloud platform implementation
- iOS and Android app development
- Infrastructure planning and implementation
- Backup and Disaster Recovery solutions
- Website design and implementation
- Online Payment solutions