LICENSING
At Royal Global Compliance Consulting, we support both corporate and individual licensing from end to end—planning, documentation, submission, and regulator liaison—delivered on time, complete, and inspection-ready. Our work is grounded in a legal-grade approach: clear rationales, defensible documentation, and a prudent tone that aligns with regulator expectations.
How we work
- Discovery & strategy. We begin with a bespoke pre-authorisation session with senior stakeholders to understand your business model, products, target clients, governance, and risk profile.
- Regulatory mapping. We translate your strategy into the relevant licensing perimeter, “fit and proper” criteria, and organisational/control requirements.
- Evidence-based preparation. We build a coherent application file with consistent narratives across forms, policies, governance charts, and financials.
- Proactive liaison. We manage correspondence with regulators and counterparties, coordinating timely, accurate responses to requisitions.
Pre-authorisation services
- Guidance on licensing scope and initial risk assessment
- Responsible Officer (RO) eligibility review, CV refinement, and exam/CPD roadmap
- Advice on corporate structure, business plan, and capital/financial resources
- Advice on internal organisation, corporate governance, and (where relevant) MIC/role mapping
- Advice on systems and controls (front-to-back processes, surveillance, record-keeping)
- Assessment of competence and fit-and-proper requirements for ROs and key personnel
- Preparation of application forms and core documents, including:
- Business plan & financial projections
- Compliance & internal control manual
- AML/CFT policy & risk assessment
- Operational procedures, registers, and governance artefacts
- Implementation support for systems and controls and readiness testing
- Handling of SFC correspondence and requisitions
- Coordination with company secretary, legal advisors, custodians, fund administrators, tax advisors, auditors and other service providers
What we deliver
- A complete, coherent application pack aligned to regulator guidance
- Policy suites tailored to your operating model and risk profile
- Governance/organisation charts and role accountability definitions
- Submission management and structured responses to follow-up queries
- A practical post-authorisation compliance plan (monitoring, registers, reporting cadence)
Scope of regulators and licences
We assist newly incorporated and established firms with applications, variations, and change-notifications across:
We assist newly incorporated and established firms with applications, variations, and change-notifications across:
- Securities and Futures Commission (SFC) – corporate licensing, additions of regulated activities, RO/rep approvals, changes in substantial shareholders, uplift/removal of licensing conditions
- Hong Kong Monetary Authority (HKMA) – relevant approvals and notifications for authorised institutions/registered entities
- Insurance Authority (IA) – corporate and individual licensing matters
- Stock & futures exchanges – memberships/permissions where applicable
- Money Service Operator (MSO) licences – HK Customs & Excise Department
- Money Lenders Licences – Companies Registry and Hong Kong Police Force
- Individual licensing – ROs and licensed/registered representatives
Track record and approach
Our team has supported successful new licences, additions of regulated activities, changes of control/substantial shareholders, and licensing condition uplifts for clients operating in Hong Kong and the region. We emphasise consistency, evidence, and proportionality—the hallmarks of submissions that stand up to regulatory scrutiny.
Important notice: We act on a best-efforts, professional-standards basis. Licensing outcomes and timelines remain at the sole discretion of the relevant regulators.
Why engage us
- Legal-grade drafting and documentation that are clear, consistent
- Practical, proportionate advice aligned to your actual business model
- Efficient project management from scoping to decision, with disciplined timelines
- Seamless coordination with your internal teams and external providers
