ComplianceAsia handles a large number of licensing applications for financial services firms in Hong Kong, Singapore and elsewhere. This work includes licence applications for asset management, financial advisory, securities dealing, corporate finance and for those firms seeking a seat on local exchanges. We also support hundreds of individual licensees with their licensing requirements for the companies we work for.
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.
- Assists with SEC Registration in the U.S.A. for companies whose activities will require it.
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. Our compliance project services can also help you find a solution to the specific needs of your organization.
What is the next step?
Contact Us if you are interested in learning how ComplianceAsia can help you.