On-going Compliance Advisory and Support Services

License Applications

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On-going Advisory Services

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Special Advisory Services

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Monitoring Services

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Training

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Examples of Other Value-added Services

>> About Us > Consulting Team >  Our Services > Ongoing compliance advisory and support services

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• Providing compliance advice on matters arising from time to time.  Examples include: interpretation of regulations and guidelines from regulators, inquiries from regulators, actions to be taken upon becoming aware of breaches, system failure, etc.

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• Providing advice on events and incidents that require notifications and/or approvals to regulators such as change of shareholder controllers / directors, business address, capital structure, material breach of regulation, etc.

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• Preparing and review regulatory notification forms and letters for clients.

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• Periodic discussions with clients on recent changes in businesses and licensees’ personal particulars to ensure timely notifications to regulators.

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• Through an interactive approach, compiling compliance and AML/CFT policies and procedures for client that meet client’s specific needs.

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• Reviewing and updating compliance and AML/CFT manuals for clients to meet the latest regulatory changes or comments from regulators during inspections and ongoing supervision.

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• Conducting gap analysis on existing policies and procedures against the relevant regulatory requirements to identify deficiencies and recommend improvements.

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• Conducting review on the internal controls over the compliance with AML/CFT regulatory requirements. 

 

• Providing advice on completion of regulatory returns, questionnaires and surveys.

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• Reviewing the returns (e.g. Financial Resources Return (FRR)), questionnaires and surveys to identify potential completion errors and suggesting corrections.

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• Advising on handling of complaints relating to regulatory requirements, e.g. mis-selling of investment products.

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• Providing guidance on the complaint investigation process and how the investigation report should be drafted.

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• Providing support in complaint investigation on a case-by-case basis.