Compliance Monitoring
The Hong Kong Code of Conduct for Persons Licensed
By or Registered with the Securities and Futures Commission states:
Paragraph 4.3
“A licensed or registered person should have internal control procedures and financial and operational capabilities which can be reasonably expected to protect its operations, its clients and other licensed or registered persons from financial loss arising from theft, fraud, and other dishonest acts, professional misconduct or omissions.”
Compliance procedures are one thing. Following your own systems is another - and is a crucial part of maintaining your regulatory status. It's also vital in many other circumstances, including reassuring a parent company, supporting inexperienced staff or entering new areas of business.
We will rigorously test your existing monitoring arrangements, advising on any improvements you need to make under your regulatory and contractual obligations.
We're ready to help
Our specialist compliance services can make all the difference to your business. To discuss the options, or to arrange a meeting, simply call +852 2576 6211 - or contact one of our consultants contact a member of our staff