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Online AML Institutional Risks Assessment (IRA) TOOL

It’s always a tricky task for compliance officer to conduct the AML Institutional Risk Assessment (IRA) in year end. Not to mention that starting from Sep 2021, pursuant to the revised SFC AML Guidelines, licensed corporations should review the IRA at least every 2 years, or more frequently upon trigger events with material impact on the firm’s business and risk exposure.

SFC had once issued circular about deficiencies identified in IRAs that some licensed corporations had conducted  https://apps.sfc.hk/edistributionWeb/gateway/EN/circular/aml/doc?refNo=20EC73 . We provide a template for our ONGOING clients to conduct the IRA that should ease their compliance burden.

In addition to the above, CompliancePlus has developed a tool that will help licensed corporations conducting their IRA effectively and easily by completing a questionnaire. Once questionnaire is completed, we will then provide an IRA report for your reference and comments.

For PREMIUM Plan Ongoing clients of CompliancePlus, please contact us for using the IRA Tool as part of our monthly services support to you!

For STANDARD Plan Ongoing clients of CompliancePlus, please contact us to get a quote for the additional fee to use the tool for conducting IRA! 

For Non Clients and Potential Clients, please feel free to contact us at [email protected] or submit your online inquiry that we are always here for you and want to know how we can serve you on ad hoc project basis or on monthly plan!

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  • SFC Licensing
  • On-going Support
  • OFC & LPF Funds Ongoing Support
  • Online AML IRA Tool
  • ESG Compliance
  • US SEC Compliance
  • Family Office Compliance
  • Marketing Materials Review
  • Online CPT Training
  • Structured Products Compliance Solutions
  • Money Lender License
  • MSO License & Mock Assessment
  • Insurance Brokers License
  • TCSP License
  • Trust Company Registration
  • Online CPD Courses
  • On-site Review
  • KYC / AML Services
  • Compliance Training
  • Virtual Assets / VASP/ 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 presented awards to winners of Pro-bono Work in Clinical Legal Education Book Prize 2022-23
  • 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

Latest Media Coverage

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