Our Business Cases

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We assisted a few securities brokerage houses and asset management firms to successfully obtain their SFC licenses (including Type 1, Type 4 and Type9). We also obtained MSO license for money changers and remittance service providers.

We conducted mock SFC inspections for securities dealers and asset managers with an inspection program constructed by the former SFC inspectors in our dedicated team to help identifying deficiencies and getting prepared before a real SFC inspections.

 We conducted independent internal control reviews for a number of SFC licensed corporations, areas covered including compliance framework, risk management, AML/CFT procedures, product suitability and selling practices, dealings and settlement, margin financing, handling of client assets, etc. 

We performed independent reviews on valuation policies and controls of asset managers licensed with the SFC (Type 9 licensees) as required by the Revised Fund Manager Code of Conduct issued by the SFC.

We performed  AML/CFT framework and compliance reviews for brokerage houses, asset management firms, Money Service Operators ("MSO"), Trust and Company Service Providers ("TCSP") and FinTech companies. We also conducted IRA to assist these financial institutions in identifying ML/TF and other illicit financial activity risks and developing appropriate internal controls. 

We are experienced in carrying out internal audits for life insurance companies, investment brokers, asset managers, family offices and international payments businesses.