Our Approach
Specialized for Financial and Professional Services Providers
At GCC Capital, we understand the dynamic and often complex regulatory landscape faced by licensed corporations, financial intermediaries, and professional services firms. Our compliance solutions are built to meet the varying needs of our clients, offering flexibility, technical depth, and practical execution.
WE OFFER THREE CORE SERVICE MODULES:
Managed Compliance Mode
“We operate as your compliance team.”
This full-service model is designed for firms seeking to outsource part or all their compliance function. GCC Capital assumes operational responsibility for your compliance program — acting as your in-house team, but with external expertise and scalability.
Scope may include:
- Acting as Compliance Officer
- Handling licensing matters and regulatory filings
- Drafting and maintaining policies & procedures
- Managing compliance monitoring and controls testing
- Conducting internal compliance training
- Responding to regulatory inquiries and audits
Ideal for:
Smaller or growing licensed firms, asset managers, insurance intermediaries, and new market entrants needing operational reliability with cost-efficiency.
Advisory Compliance Mode
“On-call guidance for regulatory clarity.”
This mode supports firms that manage their compliance in-house but require on-demand, expert advice.
GCC Capital operates as your external compliance advisor, offering technical interpretation,
issue-specific input, or a second opinion when needed.
Scope may include:
- Interpreting SFC, IA, or HKMA circulars and requirements
- Reviewing compliance risks in new products or structures
- Addressing licensing, disclosure, or client protection questions
- Advising on breach handling, remediation, and mitigation
- Supporting internal compliance teams as a technical sounding board
Ideal for:
Established financial institutions and professional firms that need occasional external insights,
strategic advice, or complex regulatory interpretation.
Review & Project-Based Mode
“Independent insight for assurance, readiness, and improvement.”
For firms seeking support on specific compliance reviews, inspections, or special projects, this mode offers independent, objective expertise to assess or enhance your compliance posture.
Scope may include:
- Compliance framework review or diagnostic assessments
- Pre-inspection readiness reviews and mock audits
- Thematic reviews (e.g., AML, suitability, corporate governance)
- Internal investigations and breach reviews
- Project-specific support (e.g., new licensing applications, business transformation)
Ideal for:
Firms undergoing regulatory inspections, restructuring, or compliance remediation — or those seeking periodic assurance on key controls and governance practices.
Why GCC Capital?
Deep expertise in Hong Kong and regional regulatory regimes
Practical, scalable, and execution-focused approach
Experience across SFC-licensed firms, , trust & company service providers, and advisory firms
