Hong Kong Business Directory

Company Background

The company is a specialist governance, risk and compliance consultancy firm that provides independent regulatory compliance consulting and advisory to financial services firms in Hong Kong. We handle complex compliance consulting projects for financial services firms, with experience in dealing with the SFC, HKMA, HKEx and CSRC. We provide independent, unbiased advice on financial industry related regulatory and compliance issues.

Business Activities

- Licensing
Handle and advise licenses and registrations related matters for financial services firms in Hong Kong.

- Compliance Policies and Procedures
Help draft and customize compliance manuals, compliance plans, risk management frameworks, operational manuals, AML policies and procedures, business continuity plans and internal control documents.

- On-going Compliance Support
Provide on-going compliance support to financial services firms.

- Compliance Training
Provide training courses and seminars to financial firms to meet the training needs of its staff members.

- Family Offices and Trusts
Help establish family office and trust, deal with specific compliance and governance requirements such as conflicts of interest arising from co-investment, multiple directorship, public-private investment and insider information flows.

- Corporate Governance and Company Secretarial
Help clients manage company secretarial process such as corporate governance arrangements, reporting and escalation procedures and appropriate record keeping.

- Business Due Diligence
Assist clients to set up appropriate procedures and controls regarding outsourcing and verification, and performs background checking, screening and investigation services.