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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Financial Promotions

If you don’t asses the contents of financial promotions or monitor them to ensure compliance, your clients may receive unfair, unclear and misleading financial information. This increases the potential for complaints against your firm and could lead to costly remedial actions or regulatory discipline in the future.

Compliance Solutions will review your advert/written article, mail-shots etc, prior to issue and provide feedback as well as any suggested amendments to ensure your ad/promotion meets all the necessary regulatory requirements.

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