On-going 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.

  • 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.

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

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

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

  • 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.

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

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

 

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

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

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

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

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