Tailor-made Documents

ComplianceOne offers tailor-made products including various manuals, agreements and other types of document to meet our clients’ needs:

- Operation Manual

- Compliance Manual

- Operations and Risk Control Plan (for HKEx)

- Operation Procedures

- Client Agreement

- Client Agreement – Discretionary Account

- Margin/Exposure/Trading Limit Application

- Share Pledge (Tripartite Custodian Agreement)

- Independent/External Asset Manager Agreement (IAM / EAM)