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.