VCOMPLY GLOBAL assists licensed corporations, responsible officers and licensed representatives to meet their on-going compliance and regulatory obligations in Hong Kong.

 

We provide on-going compliance and regulatory services to various licensed corporations in Hong Kong on a retainer basis, among others, for the following SFC regulated activities : 

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• Type 1 - dealing in securities

• Type 2 - dealing in futures contracts

• Type 3 - leveraged foreign exchange trading

• Type 4 - advising on securities

• Type 5 - advising on futures contracts

• Type 6 - advising on corporate finance

• Type 8 - securities margin financing

• Type 9 - asset management

 

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Our standard Retainer Services include :

• provide unlimited telephone call and/or email enquiries

• handle correspondences and enquiries with regulators

• review compliance policies and procedures

• review all necessary forms and procedural manuals

• conduct regular compliance review/conference call

• provide compliance training

• provide ad hoc compliance advice and assistance

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For any enquiries, please email compliance@vcomplyglobal.com