Compliance & Regulatory Services
Expert compliance and regulatory legal services in Hong Kong. Corporate governance, AML/KYC, data protection, and regulatory compliance across Asia-Pacific.
Overview
In today's increasingly regulated business environment, maintaining compliance is not just a legal obligation but a strategic imperative. Robert Lee Law Offices provides comprehensive compliance and regulatory services that help businesses navigate Hong Kong's complex regulatory framework while expanding across Asia-Pacific markets.
Our team stays current with evolving regulations across multiple sectors, including financial services, technology, healthcare, and manufacturing. We provide practical, risk-based compliance solutions that protect your business interests while ensuring regulatory adherence.
With over 37 years of experience, we have developed deep relationships with regulatory authorities and understand how to effectively engage with government agencies across Hong Kong, China, Japan, Singapore, and other key Asian jurisdictions.
Our Compliance & Regulatory Services
Anti-Money Laundering (AML) & Counter-Terrorist Financing (CTF)
- AML/CTF policy development and implementation
- Risk assessment and compliance program design
- Transaction monitoring systems and procedures
- Suspicious transaction reporting protocols
- Staff training and awareness programs
- Regulatory compliance audits and reviews
Know Your Customer (KYC) & Customer Due Diligence
- KYC policy framework development
- Customer identification and verification procedures
- Enhanced due diligence for high-risk clients
- Ongoing monitoring and record-keeping systems
- Beneficial ownership identification
- Third-party risk management
Data Protection & Privacy Compliance
- Personal Data (Privacy) Ordinance compliance
- Data protection impact assessments
- Privacy policy development and implementation
- Cross-border data transfer arrangements
- Data breach response planning
- GDPR compliance for international operations
Corporate Governance
- Board governance and best practice advisory
- Director duties and responsibilities
- Shareholder rights and protections
- Internal control systems and policies
- Corporate compliance programs
- ESG (Environmental, Social, Governance) frameworks
Regulatory Compliance
- Licensing and regulatory approval applications
- Ongoing compliance monitoring and reporting
- Regulatory investigation support
- Compliance policy and procedure manuals
- Regulatory risk assessments
- Industry-specific compliance advisory
Financial Services Regulation
- Securities and Futures Commission (SFC) licensing
- Money lenders and money service operators licensing
- Trust company and trustee licensing
- Financial services regulatory compliance
- Virtual asset service provider (VASP) regulation
- Fintech regulatory framework advisory
