With one of the fastest growing economies in the world, Asia is a dynamic and exciting environment in which to do business. As financial markets become more complicated, business in Hong Kong and the Asia region has become increasingly sophisticated, cross-border and exposed to market and regulatory risks.
With a reputation as the leading global provider of compliance and regulatory advisory services, we work with a range of financial services firms to provide tailored solutions that work seamlessly within their local market place and internationally. Against a backdrop of changing regulation and compliance procedures, legislative upheaval and increased demand from existing clients, we have built a team of experts that enables our clients to deal with the issues facing them swiftly and efficiently.
The Securities and Futures Commission (SFC) works closely with its counterparts worldwide concerning regulatory and enforcement co-operation. We can support your firm in relation to meeting regulatory and compliance requirements of the SFC and other regulators in Hong Kong, as well as with regulators across the globe, particularly the Securities Exchange Commission (SEC) in the United States, the Financial Conduct Authority (FCA) in the UK, the Central Bank of Ireland and the Commission de Surveillance du Secteur Financier (CSSF) Luxembourg.
Our services include:
- SFC licensing
- Ongoing compliance support
- Anti-money laundering/sanctions
- Cybersecurity policies, procedures and assessments
- Regulatory consulting
- Investment advisor services
- SFC financial resources returns
- FCA authorization
- SEC registration
- CFTC registration
- Irish stock exchange listings
- Reach European investors through our hosted regulatory solution and third party management company
What our clients say:
“The team have been instrumental in helping our client base in Hong Kong and Asia comply with their SEC, FSA and SFC regulatory requirements. The [Duff & Phelps] Hong Kong team is very knowledgeable, responsive, practical and cost efficient and our clients have been very satisfied with their services. I would strongly recommend them to anyone.” PB consultancy team, top tier global prime broker