Client References
A selection of advisory engagements. All references are anonymised in line with client confidentiality obligations.
Post-inspection remediation
HK-listed financial group
Following an SFC inspection spanning multiple departments, conducted a thorough cross-area review of a licensed subsidiary and produced a comprehensive remediation report and improvement plan. The subsidiary retained all licences and continued operations without interruption.
Pre-launch regulatory advisory
US-listed insurance group
Advised a US-listed insurance company entering the Hong Kong market on SFC licensing requirements and fund distribution compliance ahead of launch, covering regulatory structure, responsible officer requirements, and ongoing obligations.
Pre-inspection readiness
UK-listed corporation
Conducted an internal audit and delivered compliance training in advance of SFC regulatory contact, strengthening the firm's internal controls framework before the inspection commenced. The engagement covered policy review, control testing, and staff preparation.
Licensing strategy & regulatory advisory
US-listed Chinese online brokerage
Provided SFC licensing strategy and ongoing regulatory advisory to a major US-listed Chinese brokerage expanding its Hong Kong-regulated operations, including activity type analysis, responsible officer structuring, and compliance programme review.
Compliance infrastructure build
Major virtual asset group
Designed and implemented the full compliance framework for a significant virtual asset group, covering transaction monitoring, trade surveillance, client onboarding procedures, and AML controls — from initial design through to operational deployment.