REGULATORY
PRACTICE AREAS

REGULATORY

We are capable to advise clients across a wide spectrum of compliance and risk management matters, including but not limited to:
  • Anti-bribery compliance
  • Anti-money laundering compliance
  • Compliance with the Securities and Futures Ordinance (Cap. 571)
In addition, we offer assistance to financial advisers, securities companies, futures companies, forex exchange trading companies and their respective employees to apply for and obtain necessary licenses issued by the Securities and Futures Commission (SFC), inclusive of the entire spectrum of Type 1 to Type 9 licenses, in which we are qualified in undertaking to:
  • Advising on the appropriate corporate structure for the application
  • Assessing the qualifications of intended Responsible Officers
  • Preparing and submitting the application form and other relevant documents for the application including business plans and other compliance manuals
  • Liaising with SFC officers including negotiating licensing conditions and handling requisitions and enquiries
  • Providing on-going compliance support services
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info@titus.com.hk
+852 3702 0045
+852 3702 0175