Facing Compliance Issue?

K-Wis solves it for you

K-Wis is heading to RegTech now …..

Welcome to K-Wis

Our Mission

Often, we found that although the financial companies implement the regulations in their internal operational procedures, the procedures are usually burdensome and are not effectively carried out the key controls meant by the regulators efficiently. We advise with the understanding to activate the key meaning of regulations to streamline your business operational procedures effectively and efficiently.

852-95567828

RegTech Coming ....

We are excited for the coming year to launch our Compliance Platform with RegTech that will help our clients in their compliance infrastructure more accurately, effectively, and efficiently. Please leave your contact at [email protected] so we can inform you once our platform launches.

Our Business Experiences

The Company’s business experiences include monthly outsourcing services and post license applications:

Deal with SFC

To provide compliance advisory services and correspondences with the SFC on behalf of clients

Review

Review investment and operation procedures and also provide written improvement;

Monitoring

Monitor the client data records in the SFC’s WING portal;

Updating and Enhancement

Compliance Manual; AML/CFT Policy and Institutional Risk Assessment Report; Account Opening Documents and Agreements;

Set Up

Set up 8 MICs management roles reporting procedures checklists;

Application

Responsible officer application; and Substantial shareholder application.

What Our Clients Say

Our clients are experienced financial professionals and let’s see what they said from their experiences with K-wis.

During the cooperation with K-Wis founder for the compliance outsourcing services, I am impressed by her professionalism, diligence and care in responding to regulatory enquiries, applying for SFC’s Responsible Officer’s License, providing compliance advice, enhancing compliance manuals, etc., so I sincerely recommend K-Wis Compliance Limited to you.

Mr. Peter Kok SFC CE Number: AUC483

Appreciated the services provided by k-wis compliance. In addition to her professionalism, she has been well addressed our needs within our compliance works in a responsible way. I am pleased to recommend K-Wis Compliance Limited services.

Mr. Ivan Tsui SFC CE Number: ACG508

So thankful for the K-Wis compliance service that helped me with my application for Responsible Officer. They are extremely professional, willing to help clients, and understand the uniqueness of each client. During the application, they can give me comprehensive and accurate information, and also respond to my request quickly and timely. Therefore, I strongly recommend K-Wis Compliance to be your business partner when you aim for service excellence and credibility.

Mr. Kenneth Li SFC CE Number: BHP147

K-Wis Compliance’s services have been a great help to me, their prompt responses to my compliance problems such as the monitoring of various submission records to the regulator. They also take care of our other application project process diligently. Therefore, I highly recommend the services of K-Wis Compliance to you

Mr. Philip Lau SFC CE Number: AKV286

Our Services

We provide all-around compliance services to clients. Please refer to the following various service types for your information.