ComplianceAsia has a proven track record of efficiently and as seamlessly as possibly obtaining licences and registrations for financial services firms in Hong Kong, Singapore and elsewhere. We also support hundreds of individual licensees with their licensing requirements on behalf of the companies we work for.

We process all types of licences in Hong Kong and Singapore. We make notifications and form ADV filings with US SEC for exempt reporting advisers and Asia-based registered investment advisers. We have assisted with licence applications in Malaysia, the PRC and Korea.  We help firms obtain exchange memberships and remote trading rights throughout Asia and foreign investor IDs.

Our licensing team:

  • prepares and submits licensing applications for corporations and individuals
  • liaises with local regulators
  • negotiates licensing conditions
  • prepares critical compliance documents, such as compliance manuals and regulatory business plans
  • assists with capital adequacy returns and planning

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 continue to provide ongoing support to help you to maintain your obligations.

Related Services
Ongoing Compliance Support

ComplianceAsia helps firms to understand their ongoing regulatory obligations in Asia and create compliance plans to meet those requirements, and delivers personalised compliance support to your Asian offices to ensure your regulatory obligations are met and regulatory relationships run smoothly.

Compliance Policies and Procedures

ComplianceAsia knows that legislation and regulations are always changing and that your business will grow and expand. We help you to draft and customise compliance manuals, compliance plans, risk management frameworks, operational manuals, AML policies and procedures, business continuity plans and internal control documents.