香港監管合規及法律服務
我們的監管合規執業範疇
負責監管及合規事宜的律師團隊是各行各業賴以成功的基石， 他們能確保公司事務均符合香港政府規定及法例要求， 助您無後顧之憂地全力拼搏事業。 作為一家專注於法律及監管合規服務的香港律師事務所，我們經驗豐富的律師及法律團隊能就各類合規及風險管理事宜，為客戶提供專業法律意見，範疇包括但不限於：
- 反賄賂合規
- 反洗黑錢合規
- 第571章《證券及期貨條例》的法例合規
此外，我們的監管合規律師亦為財務顧問、證券公司、期貨公司、外匯交易公司及其相關員工提供專業協助及法律服務，協助他們向證券及期貨事務監察委員會（證監會）申請並獲取所需牌照，涵蓋由第一類至第九類的所有牌照類型。我們具備資格處理以下相關事宜：
- 就申請所需的適當公司結架構提供建議
- 評估預期負責人員的資格條件
- 準備並提交申請表格及其他相關申請文件，包括商業計劃和其他合規手冊
- 與證監會部門聯絡，包括商討發牌條件、文件要求和查詢
- 持續提供的合規支援服務
聯絡我們
隨著企業規模擴張，法例及企業監管合規扮演越發重要的角色。 如您想了解更多有關監管及合規、反洗黑錢合規，和規避風險等事宜，歡迎您與我們聯絡。
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常見問題：
Why is regulatory compliance law important?
Staying compliant with all the relevant and local regulations here in Hong Kong is one of the foundational stones of a successful business. Compliant businesses will spend less money on potential investigations later down the line and can forge a much more positive and beneficial relationship with relevant authorities and customers.
How can a regulatory compliance lawyer assist with internal investigations?
Regulatory compliance lawyers are essential when internal investigations are necessary due to suspected compliance breaches. They aid in gathering evidence, assessing the seriousness of the issue, and suggesting corrective actions. With our expertise, we can ensure that investigations are conducted thoroughly and in line with legal standards, helping businesses to address and resolve potential compliance problems effectively.
What are the penalties for not being compliant?
This, of course, depends on the nature of compliance laws broken and the scale of the offence. However, breaching regulatory compliance can cause a string of issues, such as hefty penalties and fines, the inability to enrol in certain programmes, and more. All of this can make it extremely hard to stay profitable and run a successful business.
Is accidental non-compliance still an offence?
Yes. Whether you accidentally or intentionally stray away from the regulations stipulated by the relevant laws, any form of non-compliance will be considered an offence in Hong Kong. Working together with experienced regulatory compliance lawyers will help you identify areas of potential non-compliance, as well as rectify areas in which you may already be non-compliant.
What specific qualifications and experience should I look for in a lawyer specialising in Hong Kong regulatory compliance?
A regulatory compliance lawyer or attorney should possess a deep understanding of Hong Kong's legal and regulatory landscape, including relevant ordinances like the Securities and Futures Ordinance (Cap. 571) and anti-money laundering regulations. Experience in dealing with specific regulatory bodies like the SFC is also crucial. Look for lawyers with a proven track record in handling licensing applications, conducting internal investigations, and providing ongoing compliance advisory services. Ideally, they should have experience working with businesses in your specific industry, as regulations can vary significantly across sectors. If you are seeking a professional legal team to help with your regulatory compliance, get in touch with us to learn more.