Independent AML Audit
電話：+852 3955 0277
Who We Serve
We provide professional compliance support services to the following financial institutions and enterprises
Business types include:
➤ Securities dealers
➤ Futures dealers
➤ FX dealers
➤ Corporate Financiers
➤ Asset management companies
➤ Family offices / External asset managers (EAM)
➤ Virtual asset (VA) service providers
➤ Money Service Operators (MSO) and alike
➤ Money Lender and alike
➤ Insurance companies and insurance agencies/brokers
➤ Trust Company
➤ TCSP
➤ DPMS
➤ Other financial institutions
➤ Other Designated Non-Financial Businesses and Professions (DNFBPs)
What ComplianceOne can do for you
✔ Analyze gaps between current practices and the requirements of AML/CFT policies, procedures, and internal controls
✔ Develop comprehensive AML/CFT policies, procedures, and internal control documents
✔ Deliver compliance training sessions
✔ Prepare independent AML/CFT audit reports
✔ Provide complimentary name screening credits (www.edon.asia)
✔ Arrange report signing by a practicing CPA (value-added service)
Timeline
The scope of work includes performing a gap analysis, which involves reviewing: Client onboarding records, KYC records, Screening records, Risk assessment records, Ongoing monitoring records, Transaction records, Suspicious Transaction Report (STR) records, Staff training logs, and other AML-related records.
Following the review, we will conduct a meeting to discuss the findings and prepare the audit report. The entire process typically takes weeks to months to complete, depending on the complexity and scope of the engagement.
External Reference
ACAMS - The Importance of Regular Independent AML Audits
https://www.acams.org/en/opinion/the-importance-of-regular-independent-aml-audits
Contact Us
For more information or to request a quotation, please feel free to contact us:
WhatsApp: +852 39550277
WeChat: ComplianceOneHK
Email: info@complianceone.hk
Disclaimer
The information contained on this page is summarized from public sources, including the official website of the Securities and Futures Commission (SFC) (www.sfc.hk), for general informational and educational purposes only. This content does not constitute legal or professional advice and should not be relied upon as such. The views and summaries expressed herein are the personal views of ComplianceOne Consulting Limited and do not represent the official position of the SFC or any other regulatory body. For specific legal advice regarding your situation, please consult a qualified legal professional.
The legal and regulatory landscape for anti-money laundering and counter-terrorist financing (AML/CFT) is in constant flux. For financial institutions and enterprises, navigating this complexity requires more than just meeting baseline rules. Engaging a reputable external firm to conduct an independent AML/CFT audit provides an objective, impartial assessment of the effectiveness of your AML/CFT strategy, policies, and internal controls.
Such independent audits serve a wide range of purposes, including but not limited to:
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Bank account opening – Meeting banks' due diligence requirements
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Internal control enhancement – Identifying gaps and areas for improvement
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Regulatory requests – Responding to inquiries or requirements from authorities
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Business partnerships – Establishing relationships with institutional partners
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Client onboarding – Demonstrating robust compliance framework to prospective clients