Regulatory & Financial Industries Services (RFI)

We are a specialist division within HLB Hodgson Impey Cheng, a firm of Chartered Accountants and Certified Public Accountants, with a history of over 60 years in Hong Kong. The Group specialises in regulatory and compliance issues concerning the financial services industry, as well as other industries which are heavily regulated. It is well experienced in dealing with the various regulatory bodies, such as the Securities and Futures Commission (SFC), the Hong Kong Stock Exchange (HKEx), the Hong Kong Monetary Authority (HKMA), the Law Society, the Occupational Retirement Schemes Office (ORSO) and the Mandatory Provident Fund Authority (MPFA).

What we offer

With the hindsight of several recent failures in the financial services industries, regulatory bodies in Hong Kong have introduced a number of stringent regulatory requirements, while new ones are being proposed constantly.

The purpose is to tighten control over these industries, especially where the public interest is involved. In addition, the number of on-site reviews and visits conducted by these regulators are on the increase. Dealing with the regulators are not easy and the burden of compliance is likely to increase further.

Keeping abreast of these developments is time consuming and requires considerable expertise. We posses that expertise and we ensure that clients are kept fully informed, at all times, to ensure they do not stand in breach of the regulations.

Related services include:

  • RFI Consultancy Services
  • RFI Special Investigation
  • Licensing & Listing Support
  • RFI System Setup & Review
  • Regulatory & Compliance Services
  • Annual Reporting to Regulators
  • Statutory & Rules Interpretation