ComplianceAsia has a proven track record of over 15 years of obtaining licensing and registrations for financial services firms in Asia Pacific in an efficient and seamless manner. We also support hundreds of individual licensees with their licensing requirements.
We process SFC, HKMA and Customs & Excise licences in Hong Kong and MAS licences in Singapore and make Form ADV and other filings with the US SEC. We also assist with license applications in other jurisdictions, and help firms obtain exchange memberships and remote trading rights throughout Asia and foreign investor IDs.
• Assess the experience and qualification of your CEO, responsible officers or other key employees
• Collate all required information from you and your staff
• Assist with capital adequacy returns and planning
• Assist with business plans required for submission to regulators
• Liaise with local regulators for meetings
• Prepare and submit licensing applications for corporations and individuals and handle all additional questions from the regulators
• Negotiate licensing conditions
• Prepare critical compliance documents, such as compliance manuals, risk management frameworks and operational procedures
To make our licensing service more comprehensive, we work closely with your other advisers to ensure that the important legal, tax and accounting issues connected with an application are also addressed.
After your firm has obtained its licences we can then continue to provide ongoing support to help you maintain your obligations.
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