What ComplianceOne can do for you
ComplianceOne offers end-to-end licensing assistance, including: Incorporation of a Hong Kong limited company, Recruitment of Responsible Officers (RO) and other staff, Drafting business plan and internal control policies, Submission of license applications to regulators on behalf of applicants, Communication with regulators on behalf of applicants, Assistance with bank account opening, Work visa processing, and more.
Before You Start:
➤Incorporate a Hong Kong limited company
➤Appoint a Responsible Officer (RO) who fits the competence requirements
➤Decide your business plan and line of business
What ComplianceOne can do for you
ComplianceOne offers end-to-end licensing assistance, including: Incorporation of a Hong Kong limited company, Recruitment of Responsible Officers (RO) and other staff, Drafting business plan and internal control policies, Submission of license applications to regulators on behalf of applicants, Communication with regulators on behalf of applicants, Assistance with bank account opening, Work visa processing, and more.
Before You Start:
➤Incorporate a Hong Kong limited company
➤Appoint a Responsible Officer (RO) who fits the competence requirements
➤Decide your business plan and line of business
缺失類別 | 具體問題 |
|---|---|
違規利用無牌轉介人進行銷售 | 經紀公司依賴無牌第三方進行受規管活動（如保險推廣及銷售），並支付過高佣金或給客戶提供違法回扣 |
反洗錢（AML）程序缺失 | 未能建立有效的客戶盡職審查（CDD）程序，包括未能準確核實文件、逾期篩查或未能識別政治人物（PEPs） |
未能識別聲稱代表客戶人士 | 內部手冊欠缺程序，未能核實「聲稱代表客戶行事」人士的身份及授權，導致被不法分子利用 |
離岸產品盡職調查不足 | 未對離岸保險產品進行充分的盡職調查及風險評估，違反《操守守則》第 6.2 條的管治規定 |
專業彌償保險（PII）不足 | 存在保險金額不足或條款缺失，無法覆蓋公司日常營運及訴訟風險 |
What ComplianceOne can do for you
ComplianceOne offers end-to-end licensing assistance, including: Incorporation of a Hong Kong limited company, Recruitment of Responsible Officers (RO) and other staff, Drafting business plan and internal control policies, Submission of license applications to regulators on behalf of applicants, Communication with regulators on behalf of applicants, Assistance with bank account opening, Work visa processing, and more.
Before You Start:
➤Incorporate a Hong Kong limited company
➤Appoint a Responsible Officer (RO) who fits the competence requirements
➤Decide your business plan and line of business
What ComplianceOne can do for you
ComplianceOne offers end-to-end licensing assistance, including: Incorporation of a Hong Kong limited company, Recruitment of Responsible Officers (RO) and other staff, Drafting business plan and internal control policies, Submission of license applications to regulators on behalf of applicants, Communication with regulators on behalf of applicants, Assistance with bank account opening, Work visa processing, and more.
Before You Start:
➤Incorporate a Hong Kong limited company
➤Appoint a Responsible Officer (RO) who fits the competence requirements
➤Decide your business plan and line of business
服務階段 | 具體內容 |
|---|---|
預備期 | 根據文件清單協助準備審查文件，制定內部核查策略 |
會議支援 | 按需求參與開場會議及其他會議，協助應對監管提問 |
查詢回應 | 協助回應監管對業務活動的各類查詢，確保溝通順暢 |
後續整改 | 根據監管建議，協 助制定及實施適當的政策與程序 |
額外諮詢 | 額外諮詢 提供與現場審查相關的其他合規諮詢服務 |
What ComplianceOne can do for you
ComplianceOne offers end-to-end licensing assistance, including: Incorporation of a Hong Kong limited company, Recruitment of Responsible Officers (RO) and other staff, Drafting business plan and internal control policies, Submission of license applications to regulators on behalf of applicants, Communication with regulators on behalf of applicants, Assistance with bank account opening, Work visa processing, and more.
Before You Start:
➤Incorporate a Hong Kong limited company
➤Appoint a Responsible Officer (RO) who fits the competence requirements
➤Decide your business plan and line of business
What ComplianceOne can do for you
ComplianceOne offers end-to-end licensing assistance, including: Incorporation of a Hong Kong limited company, Recruitment of Responsible Officers (RO) and other staff, Drafting business plan and internal control policies, Submission of license applications to regulators on behalf of applicants, Communication with regulators on behalf of applicants, Assistance with bank account opening, Work visa processing, and more.
Before You Start:
➤Incorporate a Hong Kong limited company
➤Appoint a Responsible Officer (RO) who fits the competence requirements
➤Decide your business plan and line of business