Heinbro

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Legal Compliance Services in Hong Kong

Built on Experience. Driven by Client Success.
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Licensing

SFC, HKMA, Company Registrary

Ongoing Compliance

Inspection, Audit, Internal Controls

Online Training

AML/CFT, KYC, ESG, Cybersecurity

Fund Registration & Compliance

Private OFCs, LPFs, Offshore funds

400+ Licensed Firms

13+ Hong Kong Compliance Experience
18+ Australian Compliance Experience

Heinbro has advised and supported more than 400 licensed firms across the full spectrum of regulated financial activities. We regularly support:

  • SFC-licensed corporations
  • Fund managers and asset management firms
  • Fintech and digital asset businesses
  • Family offices and private investment structures
  • Overseas firms operating or expanding into Hong Kong
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HK Legal Compliance Services 2

Tailor-Made Compliance Solutions

A practical and business-first approach to help clients stay compliant while focusing on growth.

Dedicated Licensing Services

End-to-end Hong Kong licensing support for SFC, HKMA, IA, MSO, and TCSP licences, guiding you from licence strategy to approval through expert regulator liaison and seamless execution.

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Ongoing Regulatory Support

Hands-on ongoing compliance support covering AML/KYC, regulatory filings, compliance monitoring, internal controls, inspections, and remediation, ensuring day-to-day compliance and inspection readiness.

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Professional Online Training

Flexible online compliance and CPD/CPT training for staff, management, and boards, covering AML, SFC Code of Conduct, ESG, VASP, and cybersecurity, designed to meet regulatory training obligations..

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Our Services

Our integrated model ensures your firm is supported at every stage — from launch to growth to ongoing operations.

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Registration of Private Open-Ended Fund Company
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Registration of Limited Partnership Fund
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Ongoing Compliance
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Market Entry
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Licensing
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Online Training
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Due Diligence & Business Intelligence
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SFC FMCC Valuation Audit
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SFC Audit Inspection
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Client Onboarding
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Cybersecurity
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Crisis Management
Legal Compliance Service in Hong Kong

Our Approach

Clear. Proactive. Regulator-aligned.

Every engagement follows a disciplined, regulator-aligned methodology:

  • Understand your business model and risk profile
  • Assess regulatory obligations and exposure
  • Design practical, proportionate solutions
  • Implement with documentation and controls that work
  • Support ongoing compliance, audits and inspections
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Inspection & Enforcement Mindset

Built to withstand regulatory scrutiny

Regulators increasingly expect firms to demonstrate:

 

  • Clear governance and accountability
  • Robust AML, cybersecurity and risk controls
  • Evidence of ongoing compliance-not one-off fixes
  • Senior management ownership and oversight
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Beyond Compliance

A complete professional services platform

To better support our licensed clients, Heinbro has expanded into:

  • Regulatory Compliance
  • Company Secretarial Services
  • Recruitment
  • Immigration Advisory
  • Digital Compliance Training
  • Fintech Support
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Legal Compliance Service Provider

FAQs for Compliance Services

Contact Heinbro to discuss your licensing and ongoing compliance needs.

Do you work with both licensed and unlicensed firms?

Yes. Heinbro supports SFC-licensed corporations, registered fund structures, and firms preparing for market entry, licensing, or fund registration in Hong Kong.

Can Heinbro act as an outsourced compliance function

Yes. We provide ongoing and outsourced compliance support, as well as project-based and advisory services depending on your regulatory needs.

Do you liaise directly with the SFC and other regulators?

Yes. We regularly liaise with the SFC, HKMA, Companies Registry, and other regulatory bodies on behalf of clients, including during applications, inspections, and remediation processes.

Can you support overseas firms entering Hong Kong?

Yes. We regularly assist overseas fund managers, fintech companies, and financial institutions with Hong Kong market entry, licensing, and regulatory structuring.

Can you help us prepare before an SFC inspection?

Yes. We conduct pre-inspection readiness reviews, mock inspections, and document checks to ensure firms are regulator-ready.

Do you support firms during an ongoing SFC inspection?

Yes. We provide hands-on support during SFC inspections, including managing information requests, preparing responses, and supporting senior management in regulator interactions.

How often should compliance audits be conducted?

This depends on your risk profile, business model, and regulatory obligations. Many firms conduct annual or risk-based audits, with additional reviews following regulatory changes or business expansion.

What areas do your compliance audits cover?

Our audits may cover AML / CFT, client onboarding, governance, internal controls, cybersecurity, outsourcing arrangements, and overall regulatory compliance.

Can you review or enhance our existing AML framework?

Yes. We conduct AML gap analyses, audits, and remediation support tailored to SFC expectations.

Do you advise on cybersecurity and technology risk compliance?

Yes. We assist firms in aligning their cybersecurity and technology risk controls with SFC regulatory expectations.
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