Financial Compliance Advisory

SFC Investigation & Consulting Services

Assistance in responding to SFC inquiries and notices
Review the documents responding to regulatory inspections
Mock SFC inspections to ensure readiness
Lookback reviews on historical accounts to detect and remediate compliance failures

Monthly Compliance Consulting

Provide continuous monitoring to safeguard the institution against regulatory updates and statutory submission lapses
Regular updates on changes in the policies and regulations
Review of marketing materials and client onboarding documents
Ad-hoc compliance advice for daily operations
Draft standard documentation for operational workflows, such as client onboarding
Review Financial Resources Return (FRR) and Business & Risk Management Questionnaire (BRMQ)

Compliance Training

Empower staff with the knowledge updating to general staff or specifically to compliance staff to update them with the latest regulatory knowledge and requirements
Customized CPT/CPD seminars
Anti-Money Laundering (AML), Counter-Terrorist Financing (CTF) and Know Your Client (KYC) training
Develop customized regulatory training programs to address institutional needs

SFC Licensing and Renewal

Assessing qualifications and review CV for RO
Improving corporate structure and business plan
Preparing and submit licensing applications
Negotiating licensing conditions
Preparing compliance manuals and other necessary documents for license application
Mock assessment

Applying for SFC licenses/VASP license/MSO license etc.
Advising on blockchain and cryptocurrency related initiatives
Artificial Intelligence related compliance advisory
Licensing and corporate governance and compliance structure for fintech companies
Data Privacy Compliance
Cybersecurity policies and procedures
Non-face-to-face clients onboarding and account opening issues and conducting related documentation reviews
Electronic and Algorithmic trading compliance and risk control