天匯合規協助客戶獲香港證監會批准虛擬資產交易及諮詢服務牌照

天匯合規顧問有限公司(「天匯合規」)近日成功協助一家持牌法團（以下簡稱「該持牌法團」）獲得香港證券及期貨事務監察委員會（以下簡稱"證監會"）批准，取得採用綜合帳戶安排提供虛擬資產交易服務（RA1-VA）及虛擬資產諮詢服務的（RA4-VA）牌照。該持牌法團於2024年12月提交申請，並於2025年8月正式獲證監會批准。

該持牌法團成立於2022年香港金融市場快速增長時期，由一群在證券交易、資產管理和投資銀行領域經驗豐富的資深金融專業人士創立，致力於為零售及企業客戶提供機構級專業金融服務。公司專注於離岸債券發行與承銷業務，提供包括產品結構設計、發行執行、銷售分銷及二級市場交易等一站式服務。

此次拓展香港虛擬資產業務版圖的戰略決策，源於該持牌法團對香港政府積極推動虛擬資產金融創新的深度認同。隨著香港在虛擬資產交易平台、穩定幣發行及Web3.0發展路線圖等領域監管框架的政策日益明確，這片市場正展現出巨大的增長潛力。該持牌法團旨在通過提供完善的虛擬資產解決方案，進一步拓寬現有業務範圍，增強市場競爭力。

天匯合規作為該持牌法團的合規顧問，為此項目提供了全方位的合規服務，包括申請資格評估、合規諮詢、內部控制流程設計，以及協助回應香港證監會對牌照申請的質詢。由合夥人Tao Wong和Tommy Chung帶領的合規諮詢團隊，專注於香港金融牌照申請、反洗錢系統建設及多元合規諮詢服務。過去八年間，天匯合規已成功協助近百間機構取得持牌法團牌照，並為數百家金融持牌法團提供各類合規諮詢服務，奠定了其在香港合規領域的領先地位。

該持牌法團與天匯合規特別感謝香港證監會在申請過程中給予的關注與支援。

ComplianceOne guides client to successful SFC approval for Virtual Asset dealing services and Virtual Asset advisory services

ComplianceOne Consulting Limited (“ComplianceOne”) assisted a licensed corporation (the “LC”) in their recent successful application for provision of virtual asset dealing services under an omnibus account arrangement (RA1-VA) and virtual asset advisory services (RA4-VA) from the Securities and Futures Commission of Hong Kong (“SFC”).  The LC submitted its application in December 2024 and obtained the approval from the SFC in August 2025.

The LC was established in 2022 in Hong Kong during a period of rapid growth in Asia’s financial markets. The company was founded by a group of seasoned financial professionals with extensive experience in securities trading, asset management, and investment banking, aiming to provide institutional-grade service to retail and corporate clients.  The LC specializes in offshore bond issuance and underwriting, providing end-to-end services including product structuring, issuance execution, sales distribution, and secondary market trading.

The LC was motivated to expand into this new business venture in Hong Kong to strategically capitalize on the government's proactive initiatives fostering virtual asset-related financial activities. With clear regulatory support for developments such as virtual asset trading platforms, stablecoin issuance, and the Web3.0 roadmap, Hong Kong presents a significant growth opportunity. Concurrently, the LC seeks to broaden its existing business lines and enhance its competitive position by offering clients a more comprehensive suite of services, including robust virtual asset (VA) solutions.

ComplianceOne served as the compliance consultant for the LC, providing comprehensive compliance services for this project. This includes offering assessment of the application, compliance advisory consultations, designing internal control processes, and assisting in responding to inquiries from SFC of Hong Kong regarding  the LC‘s license application. The compliance advisory team, led by the partners Tao Wong and Tommy Chung, focuses on financial license applications in Hong Kong, anti-money laundering (AML) systems, and various types of compliance consulting services. Over the past eight years, ComplianceOne has successfully assisted dozens of companies in becoming licensed corporations and provided various types of compliance consulting services to hundreds of financial institutions, establishing itself as a leader in Hong Kong.

The LC and ComplianceOne express special gratitude to the SFC for their attention and support during the application process.