• Client Area
  • English English English en
  • 繁體中文 繁體中文 Chinese (Traditional) zh-hant
  • 简体中文 简体中文 Chinese (Simplified) zh-hans
CompliancePlus Consulting Limited
  • Home
  • About Us
    • Consulting Team
    • Research Team
  • Services
    • SFC Licensing
    • On-going Support
    • Online CPT Training
    • Money Lender License
    • MSO License
    • Insurance Brokers License
    • TCSP License
    • KYC / AML Services
    • Fintech Advisory
    • On-site Review
    • Funds Authorisation
    • Offshore Fund Setup
    • Special Projects
    • Visa Applications
    • Recruitment
  • Experiences
  • Research
    • CP Insights
    • Resources
    • SFC Submissions
    • Other Submissions
    • Compliance articles
  • News
  • Contact Us
  • Careers
  • Search
  • Menu
Slide background

On-site Review

On-site Review

Regulator may conduct on-site reviews of licensees from time to time to ensure all regulatory requirements are met.  The best way to prepare for a regulatory visit is to conduct a mock review by CompliancePlus. Our team prepares a detailed document checklist and conduct interviews with employees in your company to go through compliance and operational issues to ensure compliance with  regulations.

Our team covers key compliance areas during an on-site review as follows:

  • Review trading practices, including best execution, broker review processes, soft dollars and their disclosure
  • Conduct risk assessments on operation and office in general
  • Conduct assurance reviews
  • Review privacy policy and statements, data protection and information security policies, business continuity plan, and website contents to ensure compliance
  • Review and update staff code of ethics and procedures such as policy on errors reporting and escalation, potential conflicts of interests, personal dealing policy and gifts and benefits policy etc. in order to address latest regulatory concerns
  • Review Anti-money Laundering policies and procedures

Online Document Store
Submit online enquiry
Subscribe Newsletter

To learn more, please email info@complianceplus.hk

  • SFC Licensing
  • On-going Support
  • Online CPT Training
  • Money Lender License
  • MSO License
  • Insurance Brokers License
  • TCSP License
  • Online CPD Courses
  • On-site Review
  • KYC / AML Services
  • Compliance Training
  • Fintech Advisory
  • Funds Authorisation
    • PRC-HK Mutual Recognition of Funds
      • Supplemental Details
  • Offshore Fund Setup
  • Special Projects
  • Visa Applications
  • Recruitment

Latest Press Release

  • CompliancePlus presented awards to winners of Clinical Legal Education Book Prize 2019 in HKU
  • CompliancePlus celebrates 10-Year Anniversary
  • CompliancePlus sponsored Master Insight Financial and Economic Forum 2019
  • CompliancePlus partners with Oriel College, Oxford to promote cross border exchanges
  • CompliancePlus presented prizes to HKU law graduates

Latest Media Coverage

  • HKEJ article on the Management and Disclosure of Climate related Risks by Fund Managers
  • Bloomberg TV Live Interview: Hong Kong Sanctions Could Threaten Banks
  • AsianInvestor: Capital flight from Hong Kong “set to spike”
  • Reuters: How financial firms in Hong Kong may be affected by U.S. sanctions
  • SCMP: National security law: Hong Kong’s financial institutions gripped by anxiety over United States sanctions

Latest Regulatory News

  • Regulatory News (Jan 2021)
  • Regulatory News (Dec 2020)
  • Regulatory News (Nov 2020)
  • Regulatory News (Oct 2020)
  • Regulatory News (Sep 2020)

Search

© Copyright - CompliancePlus Consulting Limited       Disclaimer      Privacy Statement
Scroll to top