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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Mystery Shopper

Mystery shopping is the ultimate tool to evaluate and improve your compliance and levels of customer services and to help ensure you are treating customers fairly. Mystery shopping can also be used to give you key insight of the performance of your competitors.

Documented information about the sales processes, in a ‘real sales’ situation will -:

  • Identify how your Advisers perform against their regulatory obligations and client service expectations.
  • Identify areas where Adviser training may need to be focused.
  • Provide you with the opportunity to reward Advisers for strong performance and promote constant improvement.

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