Services
Key Business Services
We provide all-around compliance services to clients. Please refer to the following various service types for your information.
SFCCorporate License Application Service includes:
- We will assess the competence of the Responsible Officers to decide whether their experiences and academic background meet the requirements of the regulator;
- We will assess the financial capacity of the shareholders to support the ongoing business of the corporate applicant;
- We will help to prepare the application documents after information is collected from the corporate applicant; and
- Addressing issues from the application process until its approval.
Compliance Monthly Outsourcing Basic Services Include:
- Advisory services on regulations of the SFC;
- Handle individual license applications (Responsible Officer and Representative);
- Update Compliance Manual and AML/CFT Policy;
- Monitor the SFC Portal information and notifications preparation;
- Build up MICs Management Reporting key procedures; and
- One-hour workshop CPT training (annually) on the AML/CFT Policy.
Ad-hoc Projects Inculde:
- Application for New Substantial Shareholder of Licensed Corporation;
- Application for Addition of regulated activity;
- Change of Licensing Condition of the Licensed Corporation; and
- Workshop and CPT on various regulations of the SFC.
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.
Update and Enhance
Compliance Manual; AML/CFT Policy and Institution Risk; Assessment Report; Account Opening Documents and Agreements.
Set Up
Set up 8 MICs management roles reporting procedures checklists.
Monitoring
Monitor the client data records in the SFC's WING portal.
Application
Responsible officer application; and Substantical shareholder application.
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.