Prosgy

About Us

Based in Hong Kong, Prosynergy is a boutique consulting firm who acts as our clients’ trusted advisor, offering regulatory and compliance services. We specialize in serving financial institutions (including broker dealers, investment banks, asset management firms, retail and commercial banks, fund houses etc.) and other organizations. Possessing extensive regulatory and compliance knowledge, fusing experiences in in-house securities firms and banks, we understand our clients’ businesses and needs, which enable us to provide workable, all encompassing solutions for them. We pride ourselves on building strong working relationships with our clients and looking for innovative ways to offer tailor-made efficient, effective and quality services to our clients.

Core Values

Professional

Our team is a unique mix of professionals with legal, regulatory, audit and compliance backgrounds in the financial industry who have a wealth of valuable global exposure and experiences with strong understanding of the regulators and the client’s needs. We are committed to continue to stay abreast with the latest developments and trends to ensure professional quality service is always delivered.

Strategy

Leveraging the professional experiences of the team, we bring practical and implementable all encompassing solutions and strategies to our clients in meeting their objectives and needs efficiently and effectively through exploring innovative approaches, including utilizing technology (RegTech) to transform risk and compliance management in response to the increasingly complex and costly regulatory environment.

Synergy

We drive synergies within the team and beyond the team including a network of high quality professionals and service providers that will provide optimum and well-rounded solutions and services to our clients.

Why Prosynergy

Technology Innovation

To manage the maze of constant-changing regulations, scarce regulatory and compliance talents and businesses shifting into the fast-paced electronic digital services, technology will inevitably be vital to assist businesses to reduce compliance costs and enhance its risk management ability, driving competitive advantage.
We collaborate with Fintech and Regtech firms and introduce and advise our clients on new technology solutions to meet their business needs.

Flexibility

Level of service can be tailor-made according to your needs and instead of hiring a team of compliance and legal staff with the relevant experience and right set of skills may be difficult and costly, outsourcing allows flexibility with support level varying depending on the progress of your business. 

Reduce Regulatory Risks
Expert support and advisory provide you the necessary know-how and market practice and ensure you comply with the latest regulatory requirements, proactively preventing and mitigating regulatory risks as well as, in challenging times, managing such risks and liaising with regulators.
In-house Development

Assist you in (1) expanding in-house legal and compliance team when the new business reaches momentum and requires a permanent team / staff,  screening candidates and providing training to such new staff and (2) expanding licensed staff from the business side by providing expert advisory on licensing applications. We would also provide compliance training.

Addressing the Setup Challenges

Using outside help that have setup experience, such as licensing matters, standard legal documents and policies and procedures, you can focus your resources on building and growing your new business venture. Instead of hiring legal and compliance staff which may take months due to under supply of talents, our team can support you in laying the foundations from the outset, working together with you in developing your business.

Professionals Ecosystem

As a boutique firm, we don’t claim to know everything. However, we continuously build a network of highly skilled and dedicated professionals to help our clients grow in different jurisdictions and in all facets of their business.

Our Founders

Louie Lee

Managing Director
+852 6876 5334
+86 147 1549 8334
louielee@prosgy.com

Professional Experience
  • Lawyer with close to 20 years of post qualification experience who had worked in the corporate finance departments at major international law firms
  • Close to 10 years at the Securities and Futures Commission in Corporate Finance and Investment Products (previously Policy, China and Investment Products) Divisions
  • Previously Head of Legal & Compliance of a bank since preparatory stage and a leading securities firm (Type 1,2,4,6,9) which was undergoing significant growth and business development
Education
  • Holds a Bachelor of Laws with Honors
Language
  • Fluent in Cantonese, English and Mandarin

Sally Lin

Director
+852 6876 5384
+86 147 1549 8387
sallylin@prosgy.com

Professional Experience
  • Over 15 years of professional experience
  • Auditor and Risk and Compliance Advisor at PricewaterhouseCoopers
  • Advised one of the largest US IPOs in history in the setup of the SOX Program (i.e. corporate governance and internal control systems) and continued as the global project leader of SOX and, reviewed, advised and implemented internal control system and process improvement
  • Global exposures in Canada, US, UK, Singapore and Hong Kong
  • Regulatory experiences in Securities and Futures Commission
  • In-house compliance experiences at a bank since preparatory stage and a leading securities firm (Type 1,2,4,6,9).
Education / Professional Qualifications
  • Holds a Bachelor of Commerce with Honors (Accounting),
  • US Certified Public Accountant, California (inactive / not practicing public accounting)
Language
  • Fluent in Cantonese, English and Mandarin

Contact Prosynergy

We look forward to hearing from you! Please fill out the contact form and we will get back to you as soon as possible.

cs@prosgy.com