We provide consulting services to SFC regulated entities such as brokerage firm and asset management companies, and assist all types of licensing firms to meet their on-going compliance support.

We assist our clients in:

1. Review their compliance policies and procedures;

2. Assist in the on-going compliance matter of the licensed corporations;

3. Advise on SFC application and liaise with the respective case officers;

4. Advise on proposed business plan and operation manual; and

5. Handle and advise on SFC correspondence and/ or investigation.