Regulatory and Compliance Advisory
We provide consulting services to SFC regulated entities such as brokerage firm and asset management companies, and assist all types of licensing firms to meet their on-going compliance support.
We assist our clients in:
Review their compliance policies and procedures;
Assist in the on-going compliance matter of the licensed corporations;
Advise on SFC application and liaise with the respective case officers;
Advise on proposed business plan and operation manual; and
Handle and advise on SFC correspondence and/ or investigation.