ComplianceOne Consulting Limited

Established since 2017, ComplianceOne aims to provide comprehensive regulatory and compliance consulting services to various entrepreneurs and financial institutions in Hong Kong.

Employment Agency License No. (2022): 69520

We have accomplished numerous successful cases including SFC licensing application – Type 1 (Dealing in securities), Type 3 (Leveraged foreign exchange trading), Type 4 (Advising on securities) and Type 9 (Asset Management) regulated activities; application for trading rights of SEHK and HKFE; licensing of MSO; licensing of Money Lenders; setting-up of Cayman Islands offshore funds etc.

Our professional team consist of Responsible Officer from Licensed Corporation, former stock broker from State Owned Enterprise, former Manager of the Licensing Department from SFC, with professional knowledge in the financial services industry and practical experience in financial regulatory licensing.

Our clients include State Owned Enterprises, asset management companies, investment companies, start-ups and individual investors.

We strive to provide the most comprehensive consulting services and solutions to our clients so as to fulfil the regulatory requirements and enhance the overall operational efficiency.