Compliance Monitoring

The Hong Kong Code of Conduct for Persons Licensed or Registered with the Securities and Futures Commission provides:

Paragraph 4.3
“A licensed or registered person must maintain internal control procedures, as well as financial and operational capabilities, that can reasonably be expected to safeguard its operations, its clients, and other licensed or registered persons from financial loss caused by theft, fraud, misconduct, or negligent omissions.”

Establishing compliance procedures is only the first step. Adhering to your own systems is equally essential to preserving regulatory status. This discipline is equally important in many other situations, such as demonstrating assurance to a parent company, guiding less experienced staff, or expanding into new business areas.

We conduct thorough testing of your current monitoring frameworks and provide clear guidance on the enhancements required to meet both regulatory and contractual responsibilities.

We are prepared to support you.
Our specialist compliance expertise can create measurable value for your organization. To explore your options or arrange a consultation, please call +852 5431 0912– or connect directly with one of our consultants.