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.

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

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• 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

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

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