Ongoing Compliance Support Service
香港 上環干諾道中168-200號 信德中心西座16樓1605室
電話：+852 3955 0277
With the tightening regulatory demands for financial institutions to follow, not only do our clients have to cope with daily operation, but they also need to assign more personnel and resources to deal with regulatory authorities. Therefore, ComplianceOne offers you monthly-charged and project-based ongoing compliance support services. All related services are tailor-made to cater for the unique needs of individual companies.
In this regard, our services include:
COMPLIANCE & ADVISORY SUPPORT
1) Provide daily compliance consultation (mainly through e-mail, electronic communication and on telephone)
2) Act as the main contact person(s) between the Company and the regulators
3) Screen all SFC circulars and assessing impacts to the Company
4) Draft and update compliance policies and procedures from time to time to match the up-to-date regulatory requirement
5) Assess qualifications of licensing applications for relevant persons and prepare the relevant applications if needed
6) Review company websites and other marketing materials if needed
7) Advise and assist in CRS-related matters, FATCA-related matters and AEOI-related matters
核心客戶群: Core Client Base: |
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持有證監會第 1 至 10 類受規管活動牌照的持牌法團 |
業務類型包括：Business types include: |
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虛擬資產服務提供商 |
家族辦公室 / 外部資產管理人 |
資產管理公司 |
期貨交易商 |
證券交易商 |
To comply with regulatory requirements of AML Ordinance Schedule 2
監管審查應對 | 收到證監會等監管機構的現場審查 (Onsite Inspection) 通知，需要專業團隊協助進行預備與全程跟進。 |
架構變革期 | 企業架構發生重大變化，管理層及員工需接受定制的合規培訓以滿足新要求。 |
業務擴張規劃 | 計劃拓展新業務線，需要資深合規團隊進行 前期規劃與合規架構搭建。 |
資源優化需求 | 期望將核心資源聚焦於業務發展，需將合規職能進行專業外包。 |
ON-SITE VISITS
1) Offer monthly visit to the office premise of the Company in preforming compliance testing and face-to face consultation
2) Review policies and procedures in relation to products, transactions and services provided by the Company
1) Review and evaluate AML and KYC internal control policies and procedures
2) Assist in developing and delivering compliance training on AML and KYC topics
3) Keep track of regulatory requirements
4) Coordinate and liaise with regulatory authorities in case of AML issues
1) Review and evaluate AML and KYC internal control policies and procedures
2) Assist in developing and delivering compliance training on AML and KYC topics
3) Keep track of regulatory requirements
4) Coordinate and liaise with regulatory authorities in case of AML issues
1) Review and evaluate AML and KYC internal control policies and procedures
2) Assist in developing and delivering compliance training on AML and KYC topics
3) Keep track of regulatory requirements
4) Coordinate and liaise with regulatory authorities in case of AML issues
1) Review and evaluate AML and KYC internal control policies and procedures
2) Assist in developing and delivering compliance training on AML and KYC topics
3) Keep track of regulatory requirements
4) Coordinate and liaise with regulatory authorities in case of AML issues
Disclaimer
Please refer to the page: https://www.complianceone.hk/disclaimer
1) Review and evaluate AML and KYC internal control policies and procedures
2) Assist in developing and delivering compliance training on AML and KYC topics
3) Keep track of regulatory requirements
4) Coordinate and liaise with regulatory authorities in case of AML issues