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Regulatory Compliance

​​AOGB provides a series of regulatory compliance services to ensure our assets and wealth management industry clients comply respective regulations enforced by the Hong Kong Securities and Futures Commission (“SFC”).

SFC licensing application

 Assisting management in applying for relevant regulatory licenses

 Reviewing business model and assist management in preparing for the required licensing documents for application (e.g. business plan, compliance manual, application forms)

 Advising the appropriate and applicable regulatory requirements


Internal control review

 Conducting out risk culture, internal control framework and corporate governance reviews and tailored training

 Providing internal control review for IPO applicants (PN21/PN2), listed companies annual evaluations and special reviews (e.g. resumption of trading or special reviews requested by authorities)

 Providing recommendations to enhance existing control, operational policies and procedures

 Performing mock regulatory compliance exams and providing advice to clients for the preparation of regulatory inspections

 Assisting to establish suitable governance frameworks


Ongoing compliance

 Providing insight on regulatory changes

 Performing health checks to assess compliance with relevant regulatory obligations

 Reviewing any regulatory filings (e.g. financial resources returns, relevant forms, etc)

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