Ongoing Compliance Support Service
香港上環皇后大道中 287-299號 299QRC 11樓1104室
電話：+852 3955 0277
COMPLIANCE & ADVISORY SUPPORT
1) Provide daily compliance consultation (mainly through e-mail, electronic communication and on telephone)
2) Act as the main contact person(s) between the Company and the regulators
3) Screen all SFC circulars and assessing impacts to the Company
4) Draft and update compliance policies and procedures from time to time to match the up-to-date regulatory requirement
5) Assess qualifications of licensing applications for relevant persons and prepare the relevant applications if needed
6) Review company websites and other marketing materials if needed
7) Advise and assist in CRS-related matters, FATCA-related matters and AEOI-related matters
With the tightening regulatory demands for financial institutions to follow, not only do our clients have to cope with daily operation, but they also need to assign more personnel and resources to deal with regulatory authorities. Therefore, ComplianceOne offers you monthly-charged and project-based ongoing compliance support services. All related services are tailor-made to cater for the unique needs of individual companies.
In this regard, our services include:
ON-SITE VISITS
1) Offer monthly visit to the office premise of the Company in preforming compliance testing and face-to face consultation
2) Review policies and procedures in relation to products, transactions and services provided by the Company
COMPLIANCE REGULATIONS UPDATE
1) Provide monthly newsletter that highlights recent notifiable compliance matters and SFC news
AML/ KYC ADVISORY SUPPORT
1) Review and evaluate AML and KYC internal control policies and procedures
2) Assist in developing and delivering compliance training on AML and KYC topics
3) Keep track of regulatory requirements
4) Coordinate and liaise with regulatory authorities in case of AML issues
TARGET CLIENTS
1) Financial Institutions such as securities company and asset management company that would like to outsource the Compliance function
2) Companies that want to seek compliance advice for numerous complicated tasks regarding register of Representative/ Responsible Officer, notification to the SFC, FRR review, etc
3) When in-house compliance officers cannot handle all affairs
4) Companies intended to develop new businesses
5) Companies that need to strengthen compliance training because of new staff entered
6) Companies that need to conduct a comprehensive review on Internal Policies and Procedures, in the case that there is no update for a period
7) Companies received the request of on-site visit from the SFC or regulated authorities
INTERNAL AUDIT ADVISORY SUPPORT
1) Review all submissions to SFC in respect of Financial Resources Rules (FRR)
2) Review annual return reporting for the corporation
3) Review annual audited account and report from auditor from compliance perspective