Licensing and compliance, explained.
Straight, practical answers to the questions institutions ask before they enter Hong Kong or stand up a regulated business — written by the people who do this work end-to-end.
Where to start.
Each guide is a self-contained reference. Read the one closest to your question, then talk to us about your specific case.
Applying for an SFC licence in Hong Kong
Regulated activity types, Responsible Officers, the fit-and-proper test, capital under the FRR, and the road from application to approval.
Read guide Hong Kong licensingThe MSO licence in Hong Kong
Who needs an MSO licence, the Customs & Excise application, the fit-and-proper test, and the AML framework the regulator expects.
Read guide Hong Kong licensingThe TCSP licence in Hong Kong
Who needs a TCSP licence, the Companies Registry application, and the fit-and-proper and AML standards behind it.
Read guide People & competenceBecoming an SFC Responsible Officer
What an RO is, the competence and fit-and-proper bar, how many you need, and how SFC approval works.
Read guide ComplianceOutsourcing your compliance function
What can be outsourced, where accountability stays with the firm, and what a compliance-as-a-service engagement actually delivers.
Read guide Offshore & onshoreOffshore securities dealer licences
Seychelles, Mauritius, BVI and Cayman securities licences, plus ASIC and FCA — how they compare, and how to choose the right one.
Read guideHave a question these guides don’t answer?
Tell us where you are — the licence you are applying for, the compliance you need to stand up, or the jurisdiction you are weighing — and we will point you to the right place to start.
Talk to us