深圳市南山區前海嘉里中心 T8 幢 2105 室
Phone：＋852 3955 0277
WeChat：ComplianceOneHK
Established in April 2017, ComplianceOne Consulting Limited (“ComplianceOne”) provides comprehensive consulting services in compliance to various financial institutions. Our Team has numerous successful cases of applications for SFC licence – Type 1 (Dealing in securities), Type 2 (Dealing in futures contracts), Type 4 (Advising on securities), Type 5 (Advising on futures contracts), Type 6 (Advising on corporate finance) and Type 9 (Asset Management) regulated activities; application for trading rights of SEHK and HKFE; licensing of Money Lenders and setting-up of Cayman Islands offshore funds, etc.
Apart from our core team, ComplianceOne has been cooperating with external financial specialists and solicitors to apply for SFC Type 3 (Leveraged foreign exchange trading) and Type 6 (Advising on corporate finance) regulated activities; Money Lender Licence and Insurance Brokers Licence. We aim to serve the clients with all-round financial licensing services.
Our clients come from mainland China, Taiwan, Korea, Cambodia, Singapore, Britain, Italy and so on. Their company sizes range from large-scale state-owned enterprises, futures companies, Chinese private funds, family offices, private enterprises, to crypto-currency service providers, etc.
We provide consulting service to corporations and individuals who intended to obtain SFC licence to carry on financial regulated activity in Hong Kong, throughout the whole application procedure. We offer free preliminary consultation to accelerate the application efficiency.
Our professional team consist of the responsible officer from Licensed Corporation and the former Manager of the Licensing Department from the SFC, with both professional knowledge of the financial service industry and practical experience of applying the licences for the following regulated activities:
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
Type 10: Providing credit rating services
ComplianceOne will further provide related support services including company registration (Hong Kong or BVI company), office leasing, office renovation/ interior design, recruitment of Responsible Officers and Manager-in-charge (MIC), bank account opening (private and corporate), web page design, development and recommendation on third-party service providers, etc. in order to deliver the most comprehensive services to the clients.
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Tao Wong, a graduate of the University of Kansas with a degree in Business Administration and Finance, joined Haitong International (formerly known as Dafu Securities) in 2007. Through working in multiple departments at a top Chinese international investment bank, he accumulated extensive operational and management experience. In 2017, Tao co-founded Tianhui Compliance with Freaklin Lee.
Tao has nearly 20 years of experience in the financial and compliance industry, possessing in-depth understanding of the compliance requirements of the China Securities Regulatory Commission (CSRC), the China Insurance Regulatory Commission (CIRC), customs, and other government agencies for financial institutions. He is able to design strategic plans for clients, provide tailored compliance advice and operational solutions, and offer professional insights to financial institutions.
Under Tao’s leadership, the Tianhui Compliance team has served nearly a thousand financial institutions from diverse backgrounds, including state-owned enterprises, central enterprises, securities firms, asset management companies, listed companies, insurance companies, finance companies, money service providers, and precious metals and gemstone traders, demonstrating a profound understanding of compliance matters.
In addition, he co-founded the compliance technology companies “Wanli Cloud Exchange System” and “Dongchacha Anti-Money Laundering/Customer Management System” to provide compliance technology solutions for financial institutions.
After graduating from University College Dublin, Tommy Chung joined Skycompany Compliance in 2018. With years of practical experience working with licensed corporations and the Securities and Futures Commission (SFC), Tommy possesses an in-depth understanding of the *Code of Conduct for Licensed or Registered Persons of the Securities and Futures Commission*, the *Guidelines on Suitable Persons*, the *Securities and Futures Ordinance*, the *Anti-Money Laundering and Counter-Terrorist Financing Ordinance*, the *Code of Conduct for Fund Managers*, and other SFC guidelines and codes.
Tommy is particularly skilled at designing organizational structures and developing operational processes for licensed financial institutions, setting up review procedures, evaluating policies and documents, and providing improvement measures for loopholes or improper practices to optimize management and operational processes. He has a profound understanding of compliance for licensed corporations.
To date, Tommy has led his compliance team to provide compliance support to hundreds of clients, including state-owned enterprises, central state-owned enterprises, securities firms, asset management companies, and listed companies.
He and his team provide daily assistance to dozens of licensed corporations in handling compliance and operational matters. They frequently communicate with the Securities and Futures Commission (SFC), participate in SFC on-site audits, and follow up on independent third-party audits, license applications, and other financial license-related matters required by the SFC.
Sam Huang graduated from Peking University with a law degree in 2008. For over 20 years, he has worked for various types of companies, handling diverse financial services, including private equity investment, financing, management, and exits.
Sam also has experience managing companies, having led teams of 100 people, primarily responsible for overall planning, organizational structure, personnel arrangements, daily administration, and marketing.
Sam has a background in both mainland China and Hong Kong, possessing a deep understanding and knowledge of the financial industry in both regions.
Graduated with a degree of sociology in the University of Hull in 2016, Bobo now has co-handled dozens of MSO Licensing cases since she joined the company. Her focus lies on applying Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO) to provide consultancy services to clients.
Graduated with a MBA from University of Macquarie, Divina Yam started her career in an IT team of an investment bank, and was later promoted to join the finance team as AVP specialized in compliance and internal; Divina is versatile in revamping overall operation in property and insurance business, establishing new business in trusting service, private funds; and is specifically well-versed in advising and developing corporate finance activities such as CDs, bonds, due diligence and compliance field.
Graduated from the University of Hong Kong, Ivan Lo began his career as a surveying professional. He served as the Executive Director of the Institute of Compliance Officers (ICO) from 2017–2021, assisting ICO in its efforts to expand its business development and assist licensed corporations in complying with the regulatory compliance requirements. He has conducted over 50 online and offline seminars and organized four 36-hour financial compliance training courses for over 200 students.
Graduated with a MSc in China Business Studies, Franklin Lee began his career in the finance industry since 2003 in brokerage firms. Having worked as Responsible Officer in different licensed corporations since 2011, he then co-founded ComplianceOne with Tao Wong in 2017. Over the past 18 years of his career, Franklin has accumulated a great deal of compliance knowledge and management experience of running a licensed corporation.
Juno Mak obtained a bachelor degree in Business and Accountancy from the Chinese University of Hong Kong in 2009 and a Bachelor of Law from University of London in 2014.
Juno had worked as a professional accounting and taxation expert both in-house at JP Morgan and externally at Ernest & Young. He also had helped set-up the accounting and reporting system for licensed corporations.
As a member of HKICPA, he is now helping dozens on licensed corporations on accounting and FRR matters.
Graduated from the City University of Hong Kong with a master degree in Financial Engineering, Bosco Ho then successfully developed and managed the Dark-Pool trading platform at HSBC back in 2007 to 2015. He was also responsible for designing the order flow and developing the execution logic for the Dark-Pool.
Since 2020, Bosco has obtained international exposure of the regulatory requirements of Virtual Assets in different jurisdictions including handling Virtual Asset Service Providers (VASPs) qualifications in Singapore, Canada, and Australia, Bahamas, Turkey, and British Virgin Islands (BVI).
