CompliancePlus Consulting

What CompliancePlus Consulting does

CompliancePlus Consulting Limited is a Hong Kong-based compliance and regulatory consultancy founded in 2009 by Josephine Chung, a former Head of Legal and Compliance at Prudential Asset Management Hong Kong. The firm serves financial institutions across Asia, including hedge funds, fund management companies, private equity firms, insurance groups, family offices, sovereign funds, fintech/virtual asset platforms, money lenders, and money service operators. It has supported over 700 financial institutions cumulatively, helped 350+ firms obtain SFC licenses, and currently provides monthly ongoing compliance services to 280+ clients, with over 70% of new business sourced through referrals.

The company's core service portfolio spans SFC licensing (hedge funds, fund managers, brokers, fintech), monthly ongoing compliance retainer plans (Standard and Premium tiers), and specialized verticals including ESG compliance, US SEC compliance, family office compliance, structured products compliance, virtual asset/VASP advisory, KYC/AML services, funds authorization, and offshore fund setup. Supporting its professional services are several digital tools: an Online AML Institutional Risk Assessment (IRA) tool that automates SFC AML Guideline compliance reviews, a Thinkific-hosted Online CPT/CPD training platform with 70+ courses, a Shopify-based document and template store, and a client portal with compliance calendars and training resources. The firm has made 49+ SFC consultation submissions and has been recognized as AsianInvestor Best Compliance Services Provider in 2013 and 2017.

Revenue is generated primarily through recurring monthly retainer subscriptions for ongoing compliance support, project-based fees for licensing and fund authorization work, pay-per-course training sales, online document/template e-commerce, and recruitment referral services through affiliated TeamPlus Consulting Limited. Pricing is quote-based for consulting services, with publicly undisclosed rates, and the firm supplements this with a referral-driven enterprise sales motion targeting SFC-licensed corporations across Hong Kong and the broader Asia Pacific region.

Name

CompliancePlus Consulting

Legal name

CompliancePlus Consulting Limited

Website

https://complianceplus.hk

Company type

Private

Founded year

2009

Operating status

Operating

Headcount range

11–50 employees

Short description

CompliancePlus Consulting Limited is a Hong Kong-based compliance and regulatory consultancy serving 700+ financial institutions across Asia with SFC licensing, monthly ongoing compliance retainer services, ESG and virtual asset advisory, and proprietary online AML and CPT training tools.

Ownership category

akta.pro rank

Product category

Regulatory Compliance Consulting

NAICS

Management Consulting Services (54161), Other Management Consulting Services (541618), Management, Scientific, and Technical Consulting Services (5416)

SIC

Services-Management Consulting Services (8742), Services-Engineering, Accounting, Research, Management (8700)

akta.pro primary industry

Regulatory Compliance Advisory (BPAHAFAB)

akta.pro secondary industries

Risk, Compliance & Internal Controls Consulting (BPAHACAJ), Compliance Technology, GRC Platforms & Controls Automation Advisory (BPAHAFAO), Fraud Risk Management & Anti-Bribery/Anti-Corruption (ABAC) (BPAHAFAL), Financial Crime Compliance Program Management (Policies, Controls, Training) (FSAMAMAH), Regulatory Compliance Management (GRC, audits, reporting) (EDABADAI)

Keywords

• Regulatory compliance consulting
• SFC licensing services
• AML KYC solutions
• Fund compliance advisory
• Compliance training courses

Headquarters

HQ city

Hong Kong

HQ country

Hong Kong SAR China

HQ region

Asia

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Technology or R&D, Marketing or Sales, Others

Revenue model

1. Monthly Ongoing Compliance Services: Recurring monthly retainer services providing ongoing compliance support to licensed firms and individuals. Includes unlimited telephone/email consulting, access to client portal, quarterly conference calls, annual mock regulatory visits, compliance folder, training, and regulatory correspondence handling. Offered in Standard and Premium tiers.
2. SFC Licensing Services: One-time project fees for handling SFC license applications for hedge funds, retail funds, financial advisers, securities companies, sovereign funds, private equity funds and their employees. Services include assessing qualifications, advising on corporate structure, preparing applications, liaising with SFC, and handling correspondences.
3. Online Training Courses: Pay-per-course model for CPT/CPD training delivered through Thinkific platform. Certificates issued upon completion and passing assessment tests.
4. Document and Template Sales: E-commerce sales of compliance documents, templates, and mock assessment question sets through online Shopify store.
5. Recruitment Referral Services: Referral services for Responsible Officers and middle/back office staff for SFC licensed firms, provided through affiliated company TeamPlus Consulting Limited.

Pricing tiers

Go-to-market motion2 records

Distribution channels5 records

Marketing channels8 records

Core offering

CompliancePlus Consulting Limited is a Hong Kong-headquartered compliance and regulatory consulting firm that advises licensed financial institutions across Asia on SFC licensing, ongoing compliance obligations, AML/KYC, ESG, fund authorization, and US SEC compliance. Its deliverables combine professional consulting (SFC license applications, mock regulatory visits, marketing materials review) with subscription-based ongoing support plans, an online AML IRA tool, a Thinkific-delivered CPT/CPD training library, and a Shopify-based document and template store.

Product overview

CompliancePlus Consulting Limited offers a comprehensive portfolio of compliance consulting services for financial institutions in Asia, with a particular focus on Hong Kong SFC licensing and regulatory compliance. The core offering comprises licensing advisory services (SFC licensing for hedge funds, fund managers, brokers, and fintech firms), monthly ongoing compliance support plans, and specialized vertical services including ESG compliance, US SEC compliance, family office compliance, structured products compliance, virtual assets/VASP advisory, and AML/KYC services. Supporting infrastructure includes an Online CPT Training platform (delivered via Thinkific), an Online AML IRA Tool for institutional risk assessments, an Online Store (via Shopify) for compliance documents and templates, and MSO Mock Assessments for licensing exam preparation. The company also provides fund authorization, offshore fund setup, trust company registration, visa application assistance, and recruitment referral services for compliance professionals. All services are delivered by a team of over 20 consultants and analysts with extensive experience in asset management, hedge funds, and regulatory compliance across the Asia Pacific region.

Differentiator

Problem solved

Functional benefit

Products and services

• SFC Licensing Services
• On-going Support (Monthly Compliance Services Plan)

Quantifiable outcome

• 300+ SFC license applications handled successfully
• +5 more outcomes

Named customers7 records

Segments7 records

Ideal customer profiles5 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration3 records

Feature4 records

Partnerships

Three partnerships are on record, tiered core and minor.

• TeamPlus Consulting LimitedcoreChannel Partner/ Reseller/ DistributorAffiliated licensed employment agency providing recruitment referral services for Responsible Officers and middle/back office staff (operations, risk, accounting, compliance) to SFC licensed firms. Leverages CompliancePlus client network and reputation for recruiting candidates.
• Silver Lining FoundationminorStrategic or Co-development PartnerCharitable partnership supporting distance online learning programs for children suffering from cerebral palsy in mainland China. Demonstrates corporate social responsibility commitment.
• Top Cayman Law FirmcoreImplementation/ SI/ Consulting PartnerPartnership with a top-tier Cayman Islands law firm to provide comprehensive offshore fund formation services to clients. Enables provision of complete fund setup solutions including legal documentation and structuring.

Scale indicators8 records

Recent moves6 records

Expansion highlights6 records

Broad incumbents

• TMF Group: International provider of fund administration, corporate, and compliance services with a significant Hong Kong presence. Comparable to CompliancePlus on fund authorization, AML/KYC support, and ongoing compliance for licensed firms, at a larger scale.
• Deloitte Hong Kong: Big 4 firm offering regulatory advisory, risk and compliance, and AML services to financial institutions in Hong Kong. Overlaps with CompliancePlus on SFC licensing support and ongoing compliance, but at a larger scale and broader service scope.
• Vistra: Global corporate services provider with Hong Kong-based fund, trust, and compliance services. Overlaps with CompliancePlus on fund setup, ongoing compliance, and TCSP/trust company services, though as part of a wider corporate services portfolio.
• EY Hong Kong: Big 4 firm providing financial services regulatory consulting, AML, and licensing support across Hong Kong and the region. Competes for the same licensed corporation and asset manager clients as CompliancePlus, typically on larger or multi-jurisdictional mandates.
• Simmons & Simmons: International law firm with a strong Hong Kong financial services regulatory practice covering SFC licensing, funds, and fintech. Overlaps with CompliancePlus on SFC licensing and ongoing compliance advisory, with deeper multi-jurisdictional legal capacity.
• Baker McKenzie: Global law firm with a substantial Hong Kong financial services and regulatory practice advising asset managers, banks, and fintechs. Comparable on SFC licensing and regulatory matters, with cross-border capacity CompliancePlus does not match internally.
• Linklaters: Global law firm with a leading Hong Kong financial services regulatory and funds practice. Competes with CompliancePlus on licensing, fund structuring (OFC/LPF), and ongoing regulatory advisory for large institutional clients.
• PwC Hong Kong: Big 4 firm with a dedicated financial services regulatory practice in Hong Kong covering licensing, compliance program design, and risk. Comparable to CompliancePlus on the regulatory advisory side, though with a global delivery model.
• KPMG Hong Kong: Big 4 advisory firm with a sizable financial services regulatory compliance practice in Hong Kong, serving banks, asset managers, and fintechs. Competes with CompliancePlus on enterprise licensing and ongoing compliance engagements, though as part of a much broader portfolio.

Direct peers

• ComplianceAsia: Hong Kong-headquartered compliance consultancy focused on regulatory, AML, and licensing services for financial institutions across Asia. Most direct head-to-head competitor to CompliancePlus given shared niche, geography, and SFC-focused practice.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat5 records

Key risks6 records

Key highlights7 records

Customer concentration

• Facebookfacebook.com/complianceplushk
• LinkedInlinkedin.com/company/complianceplus-consulting-limited

Revenue estimate

Valuation estimate

Number of profiles

Profiles4 records

Subsidiaries1 record

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about CompliancePlus Consulting