On-going Support
CompliancePlus Monthly Ongoing Services Plan
We provide on-going support to assist licensed firms and licensed individuals to meet their licensing obligations. Our on-going support focuses on high-value added and customized services to address specific needs of licensed firms and licensed individuals:
- Provide unlimited telephone and email consulting
- Free access to online client portal with training videos, compliance calendar, forms, policies and checklists, etc.
- Conduct quarterly compliance conference call
- Conduct annual mock regulatory visit with report and recommendations
- Review Financial Resources Return (FRR) and Business & Risk Management Questionnaire (BRMQ)
- Provide AML/KYC name search service using LexisNexis
- Provide monthly regulatory updates and events reminder
- Provide compliance folder with all necessary forms and procedural manual
- Review compliance policies and procedures
- Provide compliance training
- Handle regulator correspondences and enquiries
- Ad hoc compliance advice and assistance
Online Document Store
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To learn more, please email info@complianceplus.hk