Special Compliance Advisory Services

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  • Reviewing policies and procedures and conducting gap analysis on compliance with regulatory requirements such as AML/CFT, suitability obligations, client trade execution, etc.

  • Suggesting corrective measures on gaps and deficiencies identified.

  • Assisting in implementing the correction actions to ensure compliance.

 

  • Performing mock inspections to provide client the experience of regulatory inspection and to identify the gaps and deficiencies so as to implement remedial actions.

 

  • Conducting compliance reviews and internal control reviews on specific areas (e.g. investment suitability, AML/CFT, etc.) to identify gaps and deficiencies, and to implement remedial actions.

 

  • Assisting in investigations of client complaints, regulatory investigation, investigation of frauds, etc.

 

  • Reviewing draft investigation reports and draft responses to regulators to ensure appropriate content and responses.

 

  • Advising on compliance and internal control matters relating to setup of new business lines such as private/corporate banking division, dealing function, investment products division, etc.

 

  • Special projects to comply with regulatory requirements. e.g. investment suitability framework including client investment risk profiling methodology and wealth management product risk assessments, product due diligence methodology, first-line-of-defense testing and methodology, etc.

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