Ensuring compliance for asset and wealth managers

The ever-evolving compliance requires asset and wealth managers to keep abreast of developments. Industry players are increasingly under scrutiny from evolving fiduciary duties and regulatory expectations. It is essential for asset and wealth managers to stay informed and ensure they keep on top of compliance trends and developments to navigate new risks effectively.

Licensing requirements

Do I need an SFC license and are there exemptions?

Depending on the nature of the business, a company and related individual should apply for one or more RA license(s) to conduct the proposed regulated activities.

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Ongoing obligations

What are the ongoing obligations for a licensed entity?

A licensed firm is subject to a wide range of ongoing obligations. They have to comply with all applicable provisions of the Securities and Futures Ordinance (SFO) and relevant codes and guidelines.

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Fund establishment and documentation

What are the initial steps in setting up a fund in Hong Kong?

Investment funds can be established in Hong Kong either in the form of a unit trust, corporate form as open-ended fund companies (OFCs) or in partnership form as Limited Partnership Funds (LPFs).
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