On-going Compliance Advisory and Support Services
License Applications
On-going Advisory Services
Special Advisory Services
Monitoring Services
Training
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.
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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.