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.