Co-Founder, Managing Director
CurrentCombining technology innovation by applying regtechs, with regulatory insights, hands-on experiences and a network of professionals, we provide unique and practical solutions to our financial institution, crypto operator and fintech clients.Major project experiences include:- Advise crypto / virtual asset trading platform, OTC brokerage and fund managers on the design of policy, procedures and controls in meeting SFC regulatory requirements and expectations to be ready for the new licensing framework or respective terms and conditions - Setup compliance framework and other key compliance programs, e.g. design of process and controls with the adoption of various Regtechs for online non-face-to-face onboarding for a virtual bank applicant- Advise and prepare SFC corporate and individual license applications - Conduct compliance reviews for asset management firms, corporate finance firms / investment banks and brokerage firms and provide recommendations. - Advise Regtechs on regulatory expectations and requirements to enhance their service offerings- Advise a bank on remediation actions for operating incidents reported to HKMA- Advise a bank applicant on the drafting of a liquidity policy- Conduct internal investigation for the client subject to SFC and ICAC raids
