If you engage in any securities/ futures/ funds/ crypto asset activities in Hong Kong, you may be required to apply for a licence from the SFC. Our experienced team offers bespoke licensing advice on matters such as:

• The type of licence(s) required for your business

• Addressing and resolving potential regulatory hurdles to any licensing applications

• Advising on corporate structure or business plans

• Formulating application/ business strategies 

We shall guide you through all stages of the licensing process, from pre-licensing planning, preparing and submitting the relevant licensing and ancillary applications, to handling all correspondences with and requisitions from the SFC.​

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SFC Licence - Traditional Financial Firms​

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Every application needs strategic planning. We help intermediaries and firms get their licence effectively and meet their regulatory obligations.

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Virtual Asset Exchange and Crypto Fund Licence

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Our founder is the core architect of Hong Kong’s virtual asset regulatory framework and  regulations. We pride ourselves in our unique and unparalleled expertise in this area.

We advise virtual asset exchange operators, crypto fund distributors and managers on a broad spectrum of regulatory and licensing issues.

Whether you are seeking to comply with the SFC's latest requirements, or have doubts as to whether a new business is feasible, our experienced team can advise and represent you in notifying the SFC of any changes in your business activities. Our deep understanding, especially in the area of virtual assets, enables us to have effective communication with the SFC with regard to any unique or complex business models.

As a strategic advisory firm with strong regulatory expertise in SFC matters, our mission is to help your business grow through long-term collaboration, and help you navigate through present and upcoming regulatory hurdles through our customised services to address specific challenges you may be facing. Our strategic regulatory advisory services include:

• Discussing with you about any regulatory hurdles faced under your current business model, identifying the roadblocks and resolving challenges

• Providing forward-looking advice in view of forthcoming updates/ changes in Hong Kong’s regulatory requirements which may impact your business

• Identifying regulatory obligations and providing regulatory gap analysis in respect of any new business or product lines

We can support you in any routine SFC inspections. In particular, our founder has designed the SFC inspection programme and led inspection teams. We are experienced in assisting and advising clients in SFC inspections and responding to the SFC if any non-compliance practices are identified.

We have in-house fund legal experts and possess capabilities to provide the following services:

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• Advising on and preparing documents about fund structures, custodial arrangements, internal controls manual and policies that are best suited to your business needs, and fulfilling relevant regulatory requirements

• Handling notifications and/or other relevant applications to the SFC on the launch of a fund, and liaising with the SFC

If you need any support, please feel free to discuss with us and we can advise on tactful responses to any of SFC’s regulatory inquiries including formal investigations, ad hoc inquiries and disciplinary cases.