SFC Regulatory/ Licensing
We provide compliance consulting services to assist financial institutions, intermediaries, and individual licensees, including fund managers, financial advisers, securities and futures brokers, in risk identification and compliance issues to ensure their compliance function is designed and implemented effectively.
We help our clients to obtain the necessary SFC licenses and act as their ongoing compliance consultant to handle any SFC queries, ongoing supervision, and regulatory inspections.
EQC can help licensing applicants to:
- Review qualifications for RO/LR for applications to SFC
- Advise on corporate structure and business plan
- Prepare, review and submit licensing applications
- Liaise with SFC case officers
- Handle SFC correspondence
- Negotiate licensing conditions and answer standard and complex queries from the SFC
- Prepare or update compliance manuals for ongoing compliance
- Provide structuring (not legal advice), tax and accounting services related to SFC entities