Compliglobe’s principals and advisers have published a wide range of articles including:
SEC Enforcement action: Unregistered BD and RIA
20 October 2016
RIA AR article
2 Nov 2015
Enter the dragon: obtaining a Hong Kong securities license
Informer Magazine, Thomson Reuters Accelus, Fall 2011
By Mark Berman
Use this handy guide to review and understand the requirements for obtaining a license from the HK Securities and Futures Commission. For more information, please contact us or call + 852 8124 5181 or + 44 208 458 0152.
