On-going Compliance Support

Overview

Navigating the complexity of compliance is not easy. Ever-changing regulations, tightening regulatory control and complicated compliance procedures - there are a lot to handle.

How Alles Helps

Alles provides continuing on-going advice to financial institutions regarding compliance with their continuing obligations under the relevant regulations, easing their burden and saving them massive amounts of time and efforts in meeting the regulatory requirements.

Our support programme is highly personalized to each client - we only offer what they truly need and no more than necessary.

Scope of Services (a non-exclusive list)

• Handle Responsible Officer (RO) Licence Application 
• Handle regular notification to the SFC
• Review Financial Resources Return (FRR) and Business & Risk Management Questionnaire (BRMQ)
• Review Compliance Manual 
• Provide Continuous Professional Training
• Handle general correspondence with SFC
• Provide assistance with ad hoc compliance questions
• Provide interpretation on regulations and guidelines from regulators (e.g ESG reporting requirements)
• Advise on actions to be taken upon becoming aware of breaches and system failure
• Review and evaluate AML and KYC internal control policies and procedures;
• Update on changes and proposed changes to Hong Kong laws and regulations which may affect them; and
• Provide consultation on regular compliance visits

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Whether you need us to help take care of your company's compliance needs partly or entirely, we are happy to help.

You are welcomed to schedule a call with us so we can offer customised services that best fit your needs.

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