Peak Compliance Associates Limited (PCA) 領峰合規顧問有限公司
Basic Information
Peak Compliance Associates Limited (PCA) 領峰合規顧問有限公司 is an award-winning Asia-focused financial services compliance consulting firm with operations in Hong Kong and Singapore.
We provide compliance services to financial institutions in Asia, primarily to financial institutions that are licensed and regulated by the Securities and Futures Commission (SFC) in Hong Kong and the Monetary Authority of Singapore (MAS) in Singapore.
Our four main business lines include:
(1) Licensing
(2) Ongoing Compliance Advisory and Support
(3) Compliance Training
(4) Regulatory Projects
Why work with us
Recognised as a “Top Compliance Solutions Provider” by APAC CIO Outlook for three consecutive years, we work with a diverse range of non-banking financial institutions. Our clients include hedge fund managers, quant fund managers, long-only fund managers, private equity funds and private credit fund managers, asset and wealth managers, family offices, brokers, FinTech firms, Money Service Operators, and more.
Our deep expertise is demonstrated by our proven track record in securing successful regulatory licenses under the SFC, with the team having collectively processed over 250 applications in the past 7 years. We are committed to providing pragmatic, high-quality advice that solves complex challenges, allowing organisations to operate with confidence and focus on their core business. Our goal is to be the industry’s leading consultancy by fostering a culture that attracts and retains outstanding talent.
Brochure
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Projects or Case Studies
Compliance Advisor to a USD150bn US-headquartered Private Markets Group
PCA serves as the compliance advisor to a US‑headquartered private markets group . The group's Hong Kong entity is licensed by the Securities and Futures Commission (SFC) to conduct Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) regulated activities. As the ongoing compliance advisor, PCA provides advice and support across a range of topics, including regulatory filings, regulatory updates, compliance policies and procedures, compliance monitoring plans, compliance trainings, client onboarding, AML, ESG, cybersecurity, operational risk management etc.
Compliance Advisor to Hong Kong Fund Manager
PCA serves as the compliance advisor to a Hong Kong Fund Manager. The Fund Manager is licensed by the Securities and Futures Commission (SFC) to conduct Type 9 (Asset Management) regulated activity and as the ongoing compliance advisor, PCA provides advice and support across a range of topics, including regulatory filings, regulatory updates, compliance policies and procedures, compliance monitoring plans, compliance trainings, client onboarding, AML, ESG, cybersecurity, operational risk management etc.
Supported a RMB13bn Mainland Fund Manager on a Hong Kong SFC License Application
PCA provided license application support to a Mainland Fund Manager with assets under management of ~RMB 13 billion. The group sought to establish operations in Hong Kong to expand their investment advisory and fund management activities and with PCA’s guidance, the Hong Kong entity successfully obtained the Securities and Futures Commission's (SFC) approval for Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities, marking a significant milestone in its cross‑border growth strategy.
Supported a USD70bn US Private Equity Group on a Hong Kong SFC License Application
PCA provided license application support to a US‑based private equity fund management group seeking to establish operations in Hong Kong. With PCA’s guidance, the group successfully obtained the Securities and Futures Commission's (SFC) approval for a Type 1 (Dealing in Securities) license to engage in capital raising activities, marking a significant milestone in its global expansion strategy.
