Compliance & Trading Systems · Hong Kong
Compliance for trading firms — and the systems to run it.
RETU builds and runs the compliance function for Hong Kong trading institutions — brokers, futures, proprietary and electronic-trading firms. Unlike advisers who stop at the manual, we also build the trading systems that meet the SFC’s technology, record-keeping and cybersecurity requirements — and, where you want it, we carry the compliance function for you as your outsourced compliance officer.
Five service lines, one regulated backbone.
Licensing gets you authorised. Compliance, risk and self-built trading technology keep you running to standard — the technical, trading-firm end of compliance most advisers can’t carry. Advisory for the capital that moves through it.
Licensing & Market Entry
From first application to a granted licence — in Hong Kong and across the major international jurisdictions. We prepare the firm, the people and the paperwork, and see it through with the regulator.
HK SFC/MSO/TCSP · 7 offshore & onshore regimesCompliance & Regulatory Advisory
The compliance function carried for you, month after month — as your outsourced compliance officer when you would rather we hold it, or as ongoing advisory alongside your own team. Either way, run to what the SFC actually expects.
Outsourced CO · AML · filingsRisk Management
Risk frameworks for trading-type institutions — the limits, controls, monitoring and governance that keep a dealing book accountable to management and the regulator.
Built for trading institutionsTrading Technology & IT
Where other advisers stop at telling you what the SFC’s technology rules require, we build the systems that meet them — trading, order-management and record-keeping infrastructure engineered to stand up to severe regulatory technology and cybersecurity review.
Electronic/algo · OMS · record-keeping · self-builtInvestment Advisory
Advisory for institutional capital moving into and out of Hong Kong — market entry, structuring and allocation. Where an engagement calls for regulated advice, it is delivered through the appropriately licensed entity.
Regulated advice via licensed capabilityWhere we license
Licensed in Hong Kong — and across the offshore and onshore world.
Hong Kong is our home ground. Beyond it, we run applications through the international regimes institutions actually use — established offshore centres and onshore markets alike.
Hong Kong
Our home market — full market entry, licensing and ongoing compliance.
Australia
Australian Financial Services Licence — financial-product advice and dealing.
United Kingdom
Authorisation and registration under the Financial Conduct Authority.
South Africa
Financial Service Provider licence under the FSCA (FAIS).
Seychelles
Securities Dealer Licence under the Financial Services Authority.
Mauritius
Investment Dealer licence under the Financial Services Commission.
BVI
Investment Business licence under the Securities & Investment Business Act.
Cayman Islands
Securities Investment Business licence under CIMA.
RETU advises on and manages each application end-to-end. The licence is granted to and held by the client entity — RETU is not itself a licensed corporation in any of these jurisdictions.
Who we work with
Whether you are arriving or already here.
RETU works with institutions at both stages of the Hong Kong journey — the ones setting up, and the ones already licensed and running.
Entering Hong Kong
Overseas brokers, futures firms and asset managers setting up a Hong Kong presence. We handle company setup, the SFC / MSO / TCSP licence application, Responsible Officer arrangements, and the operating model you need before day one.
Already operating here
Licensed firms that need the function kept running — ongoing compliance advisory or a fully outsourced compliance officer, risk frameworks for the dealing book, inspection readiness, and trading technology that meets SFC requirements.
The manual, the system that meets it, and someone to hold it.
Other advisers hand you a compliance manual and leave. RETU writes the manual, builds the trading systems that satisfy it, and — as your outsourced compliance officer — keeps the whole function running month after month. One team, from the licence application to the day-to-day of a compliant trading operation.
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