Introduction
Found in 2014, we devote to provide practical compliance solutions and a wide range of professional services to our clients. We were formed with the support and backing of practitioners in insurance and finance industries.
Every member of our compliance team has over 10 years of experience in financial compliance industry.
Tracked Records
- Successfully assisted clients to go through Insurance Authority's on-site inspection
- Successfully assisted corporate clients to make application to Insurance Authority, appoint Responsible Officer(s) and add new line of business.
- Completed compliance audit check for IFA clients for the preparation of regulator's normal on-site review
- Completed compliance audit check for IFA clients in relation to MPF business
- Assist client to expand business by applying for SFC licensing conditions moditication (SFC Aknowledgement)(Successful application within a few months)
- Responsed to SFC's Consultation on Proposed Amendments to SFO for Providing Assistance to Overseas Regulators (Download)
- Provides Anti-Money Laundering/Counter Terrorist Financing Search Engine to financial institutions
Background of our Clients
- Subsidiary or member company of listed company in Hong Kong Stock Exchange
- Member companies of financial groups
- Member companies of licensed banks
- Member companies of family office