Compliance Health Check and Solutions
- Pro-active compliance health check
- Design and operation effectiveness test
- Identify potential compliance weaknesses
- Advise on internal controls
- Formulate improvement plans
- Deliver tailor-made compliance trainings
- Independent compliance advice
- Long term compliance retainer
- Anti-money laundering and counter-terrorist financing solutions
Licence / Registration Application Consultancy
Assist statutory licence / registration application of:- Independent Financial Advisers
- Insurance brokers
- Investment firms
- Asset Management firms
Regulatory Liaison
- Liaise with regulator and independent post-event compliance review
External Investigative Reporting (EIR) and Financial Crime Threat Mitigation
- Support AML investigation and analysis personnel to investigate money laundering alerts by collecting, collating and disseminating evidence of any suspicious account activities or irregularities with recommendations for management review
- Provide recommendations and assist in preparing suspicious transaction reports, advise frontline business units on suspicious transactions reporting requirements, and escalate investigations to related counterparts where necessary
- Identify possible violations of law or regulation so as to contain regulatory risk in respect of money laundering
FATCA
Assist Hong Kong financial institutions to:- comply with FATCA requirements
- register as FATCA participant
Check your company's FATCA status: US Inland Revenue Service (IRS)
Anti-Money Laundering/Counter Terrorist Financing Software
- AML/CTF Search Engine
Resources
- Applicable Rules Issued by the SROs Prior to 23 September 2019
- Search Licensing Records with Insurance Authority
- Search Licensing History in registers of IARB, CIB or PIBA
- China Higher Education Student Information and Career Centre (CHESICC) 中國高等教育信息網: 申請學歷驗證報告
- China Academic Degrees and Graduate Education Development Center (CDGDC) 中國學位與研究生教育信息網