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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Licensing

For Financial Advisory and Asset Management Firms
Compliance Solutions will manage both your corporate and individual application, from start to finish - on time, thoroughly and professionally.

The process starts with bespoke pre-authorisation meetings with senior members so that we fully understand your business model and strategy.

Some of the pre-authorisation services we offer include:

  • Initial risk assessment
  • Practitioner advice on permissions required
  • Advice on business plan
  • Advice on internal organisation structures and corporate governance
  • Advice on systems and controls
  • Advice on individual approval
  • Preparing documentation
  • Completing your application
  • Project managing your application
  • Liaising with your other advisers
  • Implementing systems and controls
  • Pre-authorisation training

By going through this process you can rest assured; you will be laying down the right platform for a successful and robust business.

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