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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
  • CompliancePlus’s FB live on How to get prepared for regulatory examination

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To learn more, please email [email protected]

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

Latest Press Release

  • CompliancePlus Advises on Endowus’ Successful Digital Advisor SFC Licenses Application
  • CompliancePlus Donated 10,000 COVID-19 Rapid Antigen Test Kits
  • CompliancePlus Announces Support for the Task Force on Climate-related Financial Disclosures
  • CompliancePlus has been supporting distance online learning program for children suffering from cerebral palsy in mainland through partnership with Silver Lining Foundation
  • CompliancePlus presented awards to winners of Clinical Legal Education Book Prize 2019 in HKU

Latest Media Coverage

  • Bloomberg: Hong Kong Exodus Forces Market Watchdog Staff Into 12-Hour Days
  • FT/ Ignites Asia: Smaller firms still ‘puzzled’ over HK climate risk disclosure demands
  • Mingpao article on Impacts of the National Security Law on the Financial Industry in Hong Kong
  • Bloomberg: Deutsche Bank Stops Sponsoring H.K. IPOs on Staffing Lapse
  • HKEJ article on the Management and Disclosure of Climate related Risks by Fund Managers

Latest Regulatory News

  • Regulatory News (Jul 2022)
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  • Regulatory News (May 2022)
  • Regulatory News (Apr 2022)
  • Regulatory News (Mar 2022)

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