Compliance Review

Our company has provided more than over 15 years of professional compliance consultancy services to over 400 companies to ensure our clients' compliance system continues to be effective so that our clients can focus on growing their businesses.

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1. Compliance Review and Gap Analysis

We would conduct a review of existing compliance policy & procedures as well as perform a gap analysis as the fundamental step to update critical compliance processes and documents for your company. This would include:  

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• Internal audit program

• Compliance policies and procedures

• Know your client documentations

• Anti-money laundering policies and procedures

• Marketing Program including program concept, material contents review and approval procedures

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If your company is newly established in the industry, our compliance team would assist you in devising all the process and procedure documentations listed above.

2. On-site Review

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Compliance Consulting Limited understands the technical aspects and practical application of the regulations, as well as the regulators' interpretations that are not readily available to the industry. To avoid potential violations, we offer on-site compliance reviews to our clients.

A mock review is the best way to ensure your company is compliant. Our team uses judgmental sampling to evaluate the effectiveness and the compliance status of your operation. Special attention will be given to areas where regulators have previously found weaknesses. A review report would be issued, listing out areas where additional effort is required, along with our recommendations and implementation procedures.

In the past, we have conducted SFC mock inspections for brokerage firms, family offices, private equity firms, hedge funds and companies engaging in discretionary accounts management. Other credentials include independent review on the internal control system of the asset management arm of a listed company in Hong Kong. 

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