139 Queen's Road
Central, Hong Kong
Operating within the financial services industry demands constant vigilance regarding complex and ever-changing regulations. Our regulatory advisory service helps you proactively manage these obligations, leveraging insights gained from years spent navigating the regulatory landscape from inside firms like yours. We begin by thoroughly assessing your investment strategy, structure, and investor base to pinpoint the specific regulatory requirements applicable across relevant jurisdictions, ensuring you understand your precise compliance duties from the outset.
We provide hands-on support throughout the regulatory lifecycle, from preparing and submitting registration applications (like Form ADV with the SEC or equivalent filings with SFC, NFA, etc.) to identifying and securing available exemptions where appropriate. Our expertise extends to the complexities of cross-border activities, ensuring your marketing and offering processes comply with regulations in multiple jurisdictions. We act as your strategic partner in managing crucial regulatory relationships, guiding your firm through inquiries, preparing comprehensive responses, and managing the pressures of regulatory examinations – including interview prep, document readiness, and strategic communication.
Staying ahead of the curve is paramount. We continuously monitor the regulatory horizon, identifying upcoming changes that could impact your operations. More importantly, we translate these updates into practical implementation plans for your compliance program, helping you adapt swiftly and maintain good standing. Our goal is to transform regulatory compliance from a potential bottleneck into a streamlined function, allowing you to focus on your core business objectives with peace of mind.
