About Us
Compliance First Consulting Limited (“Compliance First”) is a trusted compliance consultant specializing in innovative compliance, operational risk management solutions, and services for brokerage, corporate finance, asset management, and alternative investments in Hong Kong. We have been helping our clients manage compliance and risks to improve efficiency and effectiveness across their businesses.
Our Values
Innovative Models
Setting up efficient and innovative business models for fund management companies.
Regulatory Compliance
Ensuring compliance with regulatory requirements for licensed corporations and individuals.
Proactive Solutions
Adding value through proactive and practical compliance solutions.
Efficiency Enhancement
Enhancing client efficiency in monitoring internal controls and overall compliance environment.
Global Recognition
Our consultants have experience dealing with various regulatory bodies and recognized qualification providers worldwide:
Regulatory Bodies:
- Securities and Futures Commission, Hong Kong
- The Hong Kong Monetary Authority, Hong Kong
- Hong Kong Exchanges and Clearing Limited, Hong Kong
- The China Securities Regulatory Commission, PRC
- Monetary Authority of Singapore, Singapore
- Japan Securities Dealers Association, Japan
- The Australian Securities & Investments Commission, Australia
- The Financial Services Authority, UK
- The Financial Industry Regulatory Authority, USA
- Securities and Exchange Commission, USA
Qualification Providers:
- The Hong Kong Association of Banks, Hong Kong
- Hong Kong Securities Institute, Hong Kong
- The Securities Association of China, PRC
- The Financial Services Institute of Australasia, Australia
- Canadian Securities Courses, Canada
- Canadian Securities Administrators, Canada
- The Chartered Institute for Securities & Investment, UK
English