In an increasingly complex regulatory landscape, the enterprises face compliance requirements from multiple jurisdictions. We provide forward-looking and pragmatic compliance and regulatory legal services to Hong Kong and Mainland China enterprises, helping clients mitigate legal risks, respond to regulatory investigations, and establish robust internal control systems.

Our services include:

Corporate Compliance System Construction

• Assist in the formulation and review of the company's compliance manual, code of conduct, whistleblowing policy, and conflict of interest management mechanism, etc.

AML and Sanctions Compliance

• Advise clients on potential liability arising from AML/CTF related legislations
• Assist in establishing internal AML and CTF policies
• Advise on sanctions regulations in Hong Kong and major economies such as the United Nations, the European Union and the United States

Financial Regulatory Compliance

• Provide legal support to clients (including banks, securities companies, asset management companies, insurance companies and virtual asset service providers) on licensing, ongoing compliance and on-site inspections by the Hong Kong Monetary Authority, the Securities and Futures Commission, the Insurance Authority, etc.
• Assist clients (including fintech companies, cryptocurrency trading platforms, and stablecoin issuers, etc.) in understanding and complying with the latest regulatory guidelines
• Represent clients in responding to enquiries, requests and enforcement actions from regulatory authorities

Data Security and Personal Data Privacy Protection Compliance

• Advise clients on issues of data security and personal data privacy protection laws in Hong Kong, the Mainland and worldwide
• Assist clients in establishing a personal data privacy compliance system in compliance with the "Personal Data (Privacy) Ordinance" of Hong Kong, the "Personal Information Protection Law of the People's Republic of China" in the Mainland and the "General Data Protection Regulation" of the European Union

 Cross-border Regulatory Compliance

• Assist Mainland enterprises to comply with the regulatory requirements of both places when setting up business in Hong Kong
• Advise on compliance with cross-border data flows, export control and competition laws (e.g. Hong Kong's Competition Ordinance and Anti-monopoly Law of the People's Republic of China), etc.
• Assist clients in joint investigations or judicial assistance matters involving the Mainland and Hong Kong

 Regulatory Investigations and Enforcement Responses

• Represent clients in on-site inspections, document requests, interviews and enforcement procedures before regulatory authorities
• Assist clients in conducting internal investigations to assess potential violations and legal liabilities
• Represent clients in defending or negotiating settlements against fines, prosecutions, revocation of licenses and other disciplinary actions