compliance solutions

Regulatory Support

We can provide the regular advice and assistance ...

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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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Due Diligence

The Hong Kong Securities and Futures Commission states:

“Investment Advisers (“IAs”) should make their own enquiries and obtain full explanations from product issuers about the risks inherent in the investment products. It is not advisable for IAs to rely on prospectuses, offering circulars or marketing materials as necessarily being self‐sufficient and self‐explanatory".

Most firms would agree that the amount of business they could generate in a day spent with clients rather than in the office, wading through documents after documents, would more than outweigh the cost of someone taking the headache of due diligence away from them!!

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