SFC licensing application

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•  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

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•  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

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•  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)