Making legal and regulatory compliance easy

November 2021 

legal regulatory compliance


Impact of non-compliance can result in significant losses in time, legal costs and negative reputation to your organisation.  We offer cost-effective solutions for risks managers, compliance mangers and human resources managers to identify and address legal and regulatory risks.  We can help assess whether your internal control framework and system are legally compliant or meet the legal due diligence standards.  We can also structure our work to help establish legal professional privilege to give you an added level of assurance in any regulatory reviews and investigations.

Given the depth of our experience, we offer legal and regulatory compliance services that are specific to your industry (e.g. financial services (fund manager, securities broker, insurance company, money lender); professional services (accountants, management consulting, and building contractors); trade-related services (logistics company, convention and exhibition operator); communications and media services (IT services, telecommunications); and manufacturing). 


We provide regular updates on cases and legislation that impact on your company and business operations.

Counter-party risk

We assist in identifying and evaluating counter-party risk.


We provide periodic training and handouts that cover key updates to the applicable law and policy; and suggest the steps you take to comply with the new requirements. 

Review and regulatory response

We assist with your policy review and development, compliance audits and risks assessment.  We represent clients in liaising with The Stock Exchange of Hong Kong Limited, the Securities and Futures Commission, Competition Commission, Independent Commission Against Corruption, and Customs and Excise Department.  We represent clients in regulatory investigations or prosecutions


We provide you with advanced warning of the commencement of new pieces of legislation or regulations that will affect your company.  We provide updates on cases and changes to policy that may affect your business operations