Five service lines, one regulated backbone.

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.

• Hong Kong SFC licence applications — Types 1, 2, 4 and 9 — from readiness review to submission and regulator follow-through.
• MSO (Money Service Operator) and TCSP (Trust or Company Service Provider) licensing.
• International licensing — Australia (ASIC / AFSL), the UK (FCA), South Africa (FSCA), Seychelles (FSA / SDL), Mauritius (FSC), and BVI & Cayman (CIMA).
• Responsible Officer (RO) arrangements and competence support.
• New company incorporation and setup for regulated business, in Hong Kong and offshore.
• Licence variation, upgrade, and adding new regulated activity types to an existing licence.

Compliance & 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 compliance officer — we carry the whole compliance function for you, month after month (compliance-as-a-service).
• Ongoing compliance advisory retained across the life of the licence.
• AML / counter-financing-of-terrorism framework — design and implementation.
• Compliance manuals, policies and procedures written to SFC expectations.
• Regulatory filings and returns, prepared and submitted on time.
• SFC on-site inspection preparation and support.

Risk Management

Risk frameworks for trading-type institutions — the limits, controls, monitoring and governance that keep a dealing book accountable to management and the regulator.

• Risk frameworks built for trading institutions — brokers, futures firms and dealing desks.
• Market, credit, liquidity and operational risk policy, with workable limits and controls.
• Intra-day and end-of-day risk monitoring and escalation design.
• Risk governance — committee structure, mandates and management reporting.

Trading 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 and algorithmic trading compliance — the testing, controls and market-access safeguards the SFC’s electronic-trading regime demands, built into the system itself.
• Trading and order-management (OMS) systems — self-developed and integrated.
• Order and transaction record-keeping engineered to institutional regulatory standards.
• Brokerage technology infrastructure, connectivity and market data.
• Cybersecurity controls and operational resilience.
• A track record of building matching, custody and record-keeping systems that have passed severe regulatory technology review.

Investment 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.

• Market-entry and allocation advisory for institutions building a Hong Kong presence.
• Structuring and introductions across the regulated ecosystem.
• Regulated investment advice is delivered through the appropriately SFC-licensed entity — RETU itself is not a licensed corporation.