Licensing

Alpha Calibration has helped asset management companies, brokerages, public companies amongst other financial firms obtain licenses for their representatives and businesses in Hong Kong. Based on this experience, our team are well positioned to help you:

  Decide on the right license and best approach for obtaining these licenses considering your resources and timeframes
  Develop your business plan, compliance manual and other relevant documents so that these are in line with the SFC's expectations
  Prepare and submit your application
  Liaise with the SFC with regards to your application

 

Ongoing Licensing Support – Licensing, SFC Approvals & Notifications

Alpha Calibration can help you update and maintain your compliance infrastructure so that you can focus on your business. We can help you with the following:

  Ongoing licensing of your LRs and LOs,
  Assist with SFC enquiries
  Notify and get approval for your material organizational changes
  Assist with other statutory compliance obligations.

 

Compliance Review

Alpha Calibration provides annual, quarterly or monthly advisory on the changing regulatory environment to ensure your business compliance infrastructure and documentation fulfil the latest regulatory requirements and remind you of any upcoming obligations.

 

Inspections & Audit

To help you prepare your business for a routine SFC inspection or audit, Alpha Calibration provides advice and mock inspections that review your records and procedures to ensure that your compliance controls and documentation are in place.

 

Training

As your business evolves, so will your human capital requirements. Alpha Calibration has helped our clients meet their compliance workforce requirements through training programmes that can count towards fulfilling minimum CPT requirements.

  Marketing and Advertising Materials Compliance to Sales and Marketing staff
  Anti-Money Laundering / Know Your Client / Account Opening Training
  Trading related regulations
  Latest regulations and requirements
  New hire training
  Other training topics are also available upon request

 

Regulatory Research & Advice

With Alpha Calibration as your compliance partner, we can perform research, update you with the latest regulatory developments and help you understand how such changes affect your business.