SFC Services – SmartHKplus.com

Greatest Asset Of An Organization Is About Talents

Get the Job Done by Mr. Right Talent with our Accounting and Compliance Service.

Accounting Services

Monthly accounting services

Monthly FRR review services

Compliance Services

Developing and clarifying mission, compliance policies, objectives and business development of you firm;

To provide compliance advice on an ad-hoc basis;
Providing on-going regulatory changes , alerts and corresponding compliance solutions and advices on all applicable legislations, regulations and code of conduct in jurisdictions which your firm is operating;
To review the relevant agreements and project tanker mandates in relation to Type 1,4,9 business;
To update the current compliance manual, customer due diligence policy and anti-money laundering policy;
To review the current account opening form, client suitability test and client agreement of your firm from compliance perspective;
To prepare AML search report for client names provided by your firm from sources including an international background search system, internet search and sanctioned lists provided by Securities and Futures Commission;
To assist the Responsible Officer with the personal share dealing monitoring and compliance of staff with the relevant disclosure and record-keeping requirements;
To assist the Responsible Officer with conflict of interests monitoring and compliance of staff with the relevant disclosure and record-keeping requirements;
Reviewing annual return reporting for the corporation and all licensed persons;
Assessing competence of new license application for representatives and responsible officers and handling the liaison with the SFC for their license application, MIC change;
Reviewing the ad-hoc survey and questionnaire requested by Securities and Futures Commission;
Handling any correspondence with Securities and Futures Commission including filing notifications and annual return; and
Providing CPT training to all staff of your firm per calendar year.
HKSI Exam preparation classes, compliance classes, CPT classes, Insurance Intermediaries Qualifying Examination teaching by experienced tutor, tailor made according to the student level and 1 to1 teaching, and the lesson can be either in English or Chinese.

Compliance review& audit

A review of the existing Compliance Manual including all policies and procedures to ensure your firm’s Compliance Manual is meeting SFC regulatory and best practice requirements;
A review of the current organisational chart and short form job descriptions;
A discussion with selected members of management and operations to discuss the effectiveness and appropriateness of the controls in place;
A review or discussion of any previous SFC findings in relation to the Company;
A review of any complaints;
A review of the client take on files
A review of the Company’s AML related policies and procedures to ensure that they are meeting the SFC regulatory requirements.

These reviews will encompass both documentary and practical elements. During the documentary review, we will examine:

Copies of compliance and operational manuals or in their absence policies and procedures on key compliance topics;
Samples of forms, agreements, reporting and confidentiality procedures; and
Copies of other regulatory correspondence and returns.
Areas of potential non-compliance with legislation and regulation;
Areas where the policies and procedures of your firm may not be in accordance with market best practice;
Areas of operational weakness in the existing practice of your firm; and
Areas which are not currently covered or at inadequately dealt with in the existing policies and procedures of your firm.

IT services

Perform SFC type 1, 4, 9 business IT MIC functions
Regularly review of IT infrastructure and data
Keep up-to-date with SFC requirements
Handle IT-related audits
Perform yearly drill for BCP
Organize and coordinate with relevant IT training.
Network troubleshooting
System and network architecture analysis, description;
User-station line arrangement of IT equipment;
Mobile email settings;
Mobile VPN configuration.

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