About Us
香港上環皇后大道中 287-299號 299QRC 11樓1104室
電話：+852 3955 0277
Established in April 2017, ComplianceOne Consulting Limited (“ComplianceOne”) provides comprehensive consulting services in compliance to various financial institutions. Our Team has numerous successful cases of applications for SFC licence – Type 1 (Dealing in securities), Type 2 (Dealing in futures contracts), Type 4 (Advising on securities), Type 5 (Advising on futures contracts) and Type 9 (Asset Management) regulated activities; application for trading rights of SEHK and HKFE; licensing of Money Lenders and setting-up of Cayman Islands offshore funds, etc.
Apart from our core team, ComplianceOne has been cooperating with external financial specialists and solicitors to apply for SFC Type 3 (Leveraged foreign exchange trading) and Type 6 (Advising on corporate finance) regulated activities; Money Lender Licence and Insurance Brokers Licence. We aim to serve our clients with all-round licensing advisory services.
We serve clients come from mainland China, Taiwan, Korea, Cambodia, Singapore, Britain, Italy and so on. Their company sizes range from large-scale state-owned enterprises, futures companies, Chinese private funds, family offices, private enterprises, to crypto-currency service providers, etc.
Our professional team consists of the Responsible Officer from Licensed Corporation and the former Manager of the Licensing Department from the SFC, with both professional knowledge of the financial service industry and relevant experience of applying the licences for the following regulated activities:
Type 1 : Dealing in securities
Type 2 : Dealing in futures contracts
Type 4 : Advising on securities
Type 5 : Advising on futures contracts
Type 6 : Advising on corporate finance
Type 9 : Asset Management
ComplianceOne will further provide supplementary services including company registration (Hong Kong or BVI company), office leasing, office renovation/ interior design, recruitment of Responsible Officers and Manager-in-charge (MIC), bank account opening (private and corporate), web page design, development and recommendation on third-party service providers, etc. in order to deliver the most comprehensive services to the clients.
BUSINESS ACTIVITIES
.jpg)
