Established in April 2017, ComplianceOne Consulting Limited (“ComplianceOne”) offers various range of compliance consulting services to financial institutions, include guiding and assisting clients through the license application process, ensuring their operations comply with applicable regulatory requirements, and more.
ComplianceOne utilizes practical operations experiences and extensive compliance knowledge from licensed institutions to provide concrete compliance advice and operation solutions. Our goal is to ensure our clients in fulfilling local regulatory compliance while enhancing operation efficiency.
We strive to deliver the most appropriate and comprehensive services to help clients effectively obtain their licenses from the SFC and other regulatory authorities. Our client include individual investors and financial institutions from Mainland China and Hong Kong. Since the launch of Shanghai-Hong Kong Stock Connect, and Shenzhen-Hong Kong Stock Connect, the demands for licensed corporations and compliance advisory services has significantly increased. Our team takes pride in deeply in understanding and meeting the diverse needs of our valued clients through our profound compliance knowledge and practical experience.
Within merely nine 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 3 (Leveraged foreign exchange trading), Type 4 (Advising on securities), Type 5 (Advising on futures contracts), Type 6 (Advising on corporate finance), Type 9 (Asset Management) and Type 10 (Providing credit rating services) 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 deeply understand the actual practices, operations and management of licensed corporations and financial institutions, due to our extensive hands-on experience in the financial industry. Trust is built on our deep understanding of clients’ needs.
To meet our clients' diverse needs, we offer comprehensive support beyond license consulting, including company registration, talent recruitment, accounting services, working visa applications, and compliance consulting. Our team, along with external professionals, ensures we handle all tasks efficiently. If problems arise, ComplianceOne is your solution.
