info@pcacompliance.com
+852 9161 3506 +65 8805 2610

Experience

PCA’s team has a significant amount of experience providing licensing and compliance advisory services to financial institutions in Asia. Listed below are a list of notable mandates for which PCA’s team were actively engaged.

Licensing Experience

Licensing of a private equity business in Hong Kong for a US$25bn+ UK-based private equity group
  • UK-based fund management group looking to set-up operations in Hong Kong to operate a central dealing desk and engage in investment advisory and and fund management activities.
  • | SFC | Type 1 | Type 4 | Hong Kong | License approved |
Acquisition of a brokerage business by a global listed company headquartered in the US
  • US listed technology group looking to acquire an SFC licensed broker in Hong Kong.
  • | SFC | Change in Substantial Shareholder | Hong Kong | Application approved |
Licensing of a fund management business in Singapore
  • Hong Kong fund manager expanding operations into Singapore and setting up a fund management business.



  • | MAS | Capital Market Services Licence - Licensed Fund Management Company | Singapore | License approved |
Establishment of a Local Representative Office for a global banking group
  • Global bank looking to expand into Asia and set up a Representative Office in Hong Kong.
  • | HKMA | Local Representative Office | Hong Kong | License approved |
US Merchant Bank expanding into Hong Kong
  • US-based financial institution looking to set up operations in Hong Kong to engage in capital raising, private placement, deal sourcing, investment advisory, and corporate finance activities.
  • | SFC | Type 1 | Type 4 | Type 6 | Hong Kong | License approved |
Launch of a pre-IPO trading platform for a Hong Kong financial services group
  • Hong Kong SFC regulated financial services group looking to launch a pre-IPO trading platform.
  • | SFC | Type 7 | Hong Kong | License approved |
Uplift licensing conditions of the Hong Kong subsidiary of a European Bank
  • European bank looking to uplift a licensing condition on its Hong Kong subsidiary that restricts it from engaging in fund management activities.
  • | SFC | Type 9 Uplift | Hong Kong | Application approved |
Licensing of a US$2.3bn+ alternatives investments business for a listed Taiwanese financial group
  • Taiwanese financial group looking to license its Hong Kong alternatives business to engage in capital raising, deal sourcing, investment advisory, and fund management activities.
  • | SFC | Type 1 | Type 4 | Type 9 | Hong Kong | License approved |
Global Market Maker establishing operations in Hong Kong
  • UK-headquartered Market Maker looking to expand its operations in Asia and setting up a subsidiary in Hong Kong to trade securities and futures contracts.
  • | SFC | Type 1 | Type 4 | Type 9 | Hong Kong | License approved |
Australian listed broker expanding to Hong Kong
  • Australian-listed broker setting up an institutional sales, trading, research, and advisory operation in Hong Kong.




  • | SFC | Type 1 | Type 4 | Hong Kong | Application approved |
US$50bn+ global alternatives manager looking to expand its licensed operation in Singapore
  • Middle eastern alternatives investment manager looking to add a dealing license to its MAS licensed fund management company.
  • | MAS | Capital Market Services Licence - Dealing in Capital Markets Products | Singapore | License approved |
US$4.5bn+ Korean private equity group expanding into Hong Kong
  • Korean private equity group setting up a joint venture in Hong Kong to engage in fund raising, investment advisory, and fund management activities in Hong Kong.
  • | SFC | Type 1 | Type 2 | Hong Kong | License approved |
UK Trust Services Group expanding into Asia
  • UK-headquartered corporate and trust services group looking to set up in Hong Kong to provide trust services.
  • | Companies Registry | Trust Company | Hong Kong | License approved |
UK remittance group establishing operations in Hong Kong
  • UK-headquartered money remittance group looking to establish operations in Hong Kong to facilitate cross-border money remittance.



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  • | Customs and Excise Department | Money Service Operator License | Hong Kong | License approved |
US$16bn+ US investment group establishing a Hong Kong presence
  • US-headquartered private markets multi-strategy investment firm looking to set up a Hong Kong operation to market funds in Asia.



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  • | SFC | Type 1 | Hong Kong | License approved |

Compliance Advisory Experience

Compliance Advisor to the Hong Kong subsidiary of a US Merchant Bank
  • US-based financial institution with US$4bn+ AUM and over 100 staff globally. Hong Kong business engages in capital raising, private placement, deal sourcing, investment advisory, and corporate finance activities .
  • | SFC | Type 1 | Type 4 | Type 6 | Hong Kong | Compliance Retainer |
Compliance Advisor to the Hong Kong subsidiary of a European Bank
  • Global banking group, headquartered in Europe whose Hong Kong subsidiary engages in wealth management and investment advisory activities.
  • | SFC | Type 1 | Type 4 | Hong Kong | Compliance Retainer |
Compliance Advisor to the Hong Kong subsidiary of a listed Taiwanese financial services group
  • Hong Kong subsidiary which has US$2.3bn+ AUM and engages in fund raising, deal sourcing, investment advisory, and fund management activities.
  • | SFC | Type 1 | Type 4 | Type 9 | Hong Kong | Compliance Retainer |
Compliance Advisor to a Hong Kong Private Credit Fund Manager
  • Hong Kong company that engages in private credit-related activities (deal sourcing, capital raising, and fund management).
  • | SFC | Type 9 | Type 4 | Hong Kong | Compliance Retainer |
Compliance Advisor to a Singaporean Private Equity Group
  • Singaporean-headquartered private equity group whose Singapore and Hong Kong businesses engage in investment advisory and fund management activities.

  • | MAS | SFC | Capital Markets Services Licence - Fund Management Company | Type 4 | Type 9 | Singapore | Hong Kong | Compliance Retainer |
Compliance Advisor to the Singapore subsidiary of a US financial group
  • US-based financial group whose Singapore subsidiary engages in corporate finance advisory activities.
  • | MAS | Advising on Corporate Finance | Singapore | Compliance Retainer |
Compliance Advisor to a Global Wealth Manager
  • Global wealth management group whose Hong Kong entity engages in external asset management and insurance broking activities.
  • | SFC | Type 4 | Type 9 | Hong Kong | Compliance Retainer |
Compliance Advisor to a Hong Kong Multi Family Office
  • Hong Kong multi-family office that engages in securities broking, investment advisory, and asset management activities in respect of funds, discretionary accounts, and actively managed certificates.
  • SFC | Type 1 | Type 4 | Type 9 | Hong Kong | Compliance Retainer |
Compliance Advisor to a Hong Kong Fund Manager
  • Hong Kong company that engages in fund management activities in respect of an equity long only fund.
  • | SFC | Type 9 | Hong Kong | Compliance Retainer |
Compliance Advisor to a Chinese Quant Fund Manager
  • Chinese fund management group whose Hong Kong entity engages in quantitative fund management activities.
  • | SFC | Type 4 | Type 9 | Hong Kong | Compliance Retainer |
Compliance Advisor to a Singaporean Private Equity Firm
  • Singaporean fund management company that manages private equity funds.
  • | MAS | Capital Markets Services Licence - Fund Management Company | Singapore Compliance Retainer |
Compliance Advisor to an Australian Broker Group
  • Australian broker whose Hong Kong entity engages in securities introducing brokerage and investment research activities.
  • | SFC | Type 1 | Type 4 | Hong Kong | Compliance Retainer |

Please feel free to get in touch about your licensing or compliance needs and we would be delighted to be of assistance.

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