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)