SFC Compliance Requirements

Adhering to the compliance requirements of the Hong Kong Securities and Futures Commission (SFC) is crucial for companies engaged in the securities and futures business in Hong Kong. We provide professional compliance services to ensure your company meets the latest regulations and requirements, mitigating compliance risks and safeguarding your company’s reputation.

Our Services Include:

1. Compliance with the Securities and Futures (Financial Resources) Rules

Assist companies in understanding and complying with the specific requirements of the Securities and Futures (Financial Resources) Rules.
Ensure that the company’s financial statements meet the prescribed financial resources requirements, and provide related consultation and reporting services.

2. Compliance with Other Securities and Futures Rules

Assist companies in understanding and complying with the specific requirements of various Securities and Futures rules, including the Securities and Futures (Client Securities) Rules, Securities and Futures (Client Money) Rules, Securities and Futures (Keeping of Records) Rules, and Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules.
Provide related compliance review services to ensure the secure management of client securities.
Ensure the management and record-keeping of client money comply with regulatory requirements, and provide compliance consultation services.

3. Compliance Training and Support

Provide professional compliance training to ensure your employees understand and adhere to relevant rules and regulations.
Continuously provide technical support to address any questions, ensuring the company always meets compliance requirements.

Why Choose Us?

Professional Team: Our team consists of experienced compliance experts and consultants, with the founder possessing over ten years of accounting and auditing experience in the financial services industry and having participated in drafting and updating relevant guidelines for industry reference.
Tailor-Made Solutions: We provide personalized compliance services and solutions based on your company’s characteristics and needs.
Focus on Compliance: We consistently monitor the latest SFC rules and regulations, ensuring your company remains fully compliant.