Environmental, Social & Governance (ESG) Advisory Services
Regulatory requirements in relation to ESG matters are rapidly evolving, and financial institutions are expected to demonstrate both compliance and accountability. We support our clients at every stage of their ESG compliance journey — from initial framework design to ongoing monitoring — with services tailored to their business model, licence profile, and regulatory obligations.
Our ESG Compliance & Advisory Services
- ESG Policy and Strategy Consulting
Development and refinement of ESG policies and strategies aligned with regulatory requirements and market practice. - Governance Advisory
Design and implementation of governance structures to embed ESG oversight at board and senior management levels. - Regulatory Compliance
Advisory on the Securities and Futures Commission (SFC) requirements for climate-related risk disclosure and management under the Fund Manager Code of Conduct. - Policy Evaluation
Assessment of existing ESG and compliance policies for alignment with regulatory standards. - Regulatory and Marketing Disclosure Review
Review of entity-level and fund-level ESG disclosures, including climate-related risks, for accuracy, sufficiency, and regulatory consistency. - Compliance Documentation
Updating compliance manuals, and designing compliance monitoring plans and programs. - Records and Documentation Review
Verification of records and supporting documentation to ensure compliance with ESG-related regulatory requirements. - General ESG Advisory
Ongoing consulting and tailored advice on ESG-related regulatory developments and best practices.
- ESG Policy and Strategy Consulting
Application Process Support
Based on an expert assessment, we provide clients with a high-level roadmap with key milestones to support licensing and regulatory applications. This includes:
- Guidance on licensing requirements
- Assessing the fitness, competence, and properness of Responsible Officers
- Preparing application forms and core documents (business plan, compliance and internal control manual, AML/CFT manual)
- Liaising with regulators throughout the application process
- Coordination with company secretary, legal advisors, custodians, fund administrators, tax advisors, and auditors on operational aspects
Ongoing Support
Upon the successful completion of the application, we offer a customised retainer compliance package. This ensures that your ESG compliance obligations are consistently met, allowing you to focus on managing and growing your business with confidence.
