Policies and Procedures

In 2011, we designed the compliance framework for a wealth-management business which is the subsidiary of one of the largest insurance companies in Hong Kong.

Our expertise also includes the review and/or development of internal manuals such as :

  • Compliance Manual

  • Client On-boarding Process

  • Customer Service Manual

  • Operations Manual

  • Marketing Program Manual

  • Accounting and Finance Procedures

  • Risk & Internal Control Manual

  • Anti-Money Laundering Policies and Procedures

  • Trading Manual

We also have experience in conducting review of existing policies and procedures of companies engaging in different types of regulated activities.

Email: info@hkcompliance.com | Tel: 2121-8968 | Address: Unit 703, 7/F, Universal Trade Centre, 3-5A Arbuthnot Road, Central, Hong Kong 

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