Ongoing Compliance Support Service (LC)

I.    Compliance & Advisory Support

• Provide REAL-TIME on-going regulatory and compliance advisory and consultancy services on all applicable legislations/ regulations/ codes/ guidelines published by the regulatory authorities (including but not limited to the Securities and Futures Commission (“SFC”)) which are related to or will affect your business operations and practices for the Regulated Activity as defined under the Securities and Futures Ordinance (“SFO”).

• Provide Compliance Impact Analysis when there are new circulars/updates from the SFC.

• Provide advisory support (including telephone inquiries and written requests) when there is any enquiry from the SFC and HKEX, and prepare correspondence and reply to the regulators.

• Review and evaluate your policies, internal controls, manuals, procedures, and document.

• Review marketing materials and client correspondences before they are disseminated or circulated to your clients.

• Handle licensing matters of your representatives and responsible officers, including but not limited to providing assessment on competence, preparing written reply, and liaising with the SFC.

• Assist in submitting notifications to the SFC regarding common change events

• Assist in handling enquiries from Inland Revenue Department of Hong Kong (“IRD”) in relation to Common Reporting Standard (“CRS”) /AEOI Portal Account matters.

• Assist in handling enquiries from Internal Revenue Service of the United States (“IRS”) in relation to FATCA Registration System FATCA Reporting matters.