Licensing

For Financial Advisory and Asset Management Firms
Compliance Solutions oversees both corporate and individual applications comprehensively, delivering completion that is timely, meticulous, and professional.

Our process begins with tailored pre-authorisation meetings with senior team members, ensuring a thorough understanding of your business model and strategic objectives.

Some of the pre-authorisation services we provide include:

• Conducting initial risk assessments

• Specialist guidance on required permissions

• Strategic input on business plan development

• Recommendations on organizational structures and governance

• Advisory on systems and internal controls

• Guidance on individual regulatory approvals

• Preparation of supporting documentation

• Full application completion

• End-to-end project management of the application

• Coordination with other advisers

• Implementation of systems and controls

• Pre-authorisation training programs

By engaging in this process, you gain confidence in establishing a strong and sustainable platform for long-term business success.

We are prepared to support you.
Our dedicated compliance expertise can deliver meaningful impact for your firm. To explore available solutions or arrange a consultation, please call +852 5431 0912 – or connect directly with one of our consultants for further assistance.