compliance solutions

Regulatory Support

We can provide the regular advice and assistance ...

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Licensing

Compliance Solutions will manage both your corporate ...

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Compliance Reviews

Our reviews are completely unbiased and 100 per cent useful ...

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Compliance Monitoring

The Hong Kong Code of Conduct for Persons Licensed ...

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Compliance Training

Training and Competence has never been more important ...

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Customer Complaints Handling

Not analysing and acting on complaints in terms of numbers...

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Anti Money Laundering "KYC"

Many regulated businesses worry about money laundering...

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Compliance Monitoring

The Hong Kong Code of Conduct for Persons Licensed
By or Registered with the Securities and Futures Commission states:

Paragraph 4.3
“A licensed or registered person should have internal control procedures and financial and operational capabilities which can be reasonably expected to protect its operations, its clients and other licensed or registered persons from financial loss arising from theft, fraud, and other dishonest acts, professional misconduct or omissions.”

Compliance procedures are one thing. Following your own systems is another - and is a crucial part of maintaining your regulatory status. It's also vital in many other circumstances, including reassuring a parent company, supporting inexperienced staff or entering new areas of business.

We will rigorously test your existing monitoring arrangements, advising on any improvements you need to make under your regulatory and contractual obligations.

We're ready to help
Our specialist compliance services can make all the difference to your business. To discuss the options, or to arrange a meeting, simply call +852 2576 6211 - or contact one of our consultants contact a member of our staff