Established in April 2017, ComplianceOne Consulting Limited (“ComplianceOne”) provides comprehensive consulting services in regulatory compliance to various financial services companies.
ComplianceOne is specialized in utilizing practical operations experience, along with compliance knowledge to provide concrete regulatory compliance advice and operation solutions to our clients. Our philosophy is to assist our clients in fulfilling local regulatory compliance while enhancing the overall operation efficiency.
We strive to deliver the most convenient and comprehensive services to the clients, assisting them to obtain the licenses from the Securities and Futures Commission (SFC) and other regulatory authorities. Our client base comprises a spectrum ranging from individual entrepreneurs and multinational financial groups, mostly originated from mainland China and Hong Kong and Singapore. Especially since the launch of Shanghai/Shenzhen Stock Connect, the demands for establishing licensed corporations and compliance advisory services become particularly buoyant. It is the pride of our professional team members on applying our profound compliance knowledge and practical experience to explore and serve the needs of our valued clients.
Within merely five years of time, our Team has accumulated numerous successful cases of SFC licensing applications – Type 1 (Dealing in securities), Type 2 (Dealing in futures contracts), Type 4 (Advising on securities), Type 5 (Advising on futures contracts) and Type 9 (Asset Management) regulated activities; and applications for trading rights of SEHK and HKFE.
Why work with us
At ComplianceOne, we aim to provide ONE-STOP COMPLIANCE SOLUTIONS to our clients.
Our Team has extensive hands-on experience in the financial services industry, and we truly understand the actual operations and management of licensed corporations and financial institutions. We truly understand our clients. We truly know each other.
To cope with the needs of our clients from diversified aspects, we are dedicated to provide licensing advisory services and supporting professional services for such demands. In addition to our internal professional team, we also cooperate with other professional partners, including lawyers, accountants, bankers, etc., to meet the needs of our clients. Starting from company registration, recruitment to compliance advisory services, , ComplianceOne is always the consultancy firm to provide all you will need.
