Compliance Services

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Compliance & Licensing Applications (Review & Audit)

We give solid support for business start-ups and throughout their development, particularly in the phase of licence application through SFC. Whether you need assistance in business plan development and financial forecasts; review and advice on internal controls, as well as purchase or sales of licensed corporation. SmartPlus is highly adequate and fast to help.

Smartplus's Service include:

Consultation services in business plans and financial forecasts
Offer help on hiring a suitable Responsible Officers for application
Review and advise on internal controls
Apply for license through Securities and Futures Commission (SFC)
Answer to questions related to SFC and provide compliance advisory

Develop and clarify corporate-level mission & vision, compliance policies, objectives and business development targets;

SFC licensing;
Provide ongoing regulatory change reminders, alerts, and related compliance solutions and advice on all applicable legislations, regulations, and codes of conduct in jurisdictions where your firm is operating;
Regulated activities
Help 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 the Securities and Futures Commission, Hong Kong ;
Give advice related to your business from a compliance perspective, including the current business processes, new products or other new initiatives;
Review compliance-related policies and procedures;
Assist in SFC inspections and other regulatory requests (e.g. survey);
Review licensing applications and regulatory notifications (e.g. changes of MIC, business plan, basic and relevant information);
Assist in annual filings such as annual return and business and risk management questionnaire (BRMQ); and

Compliance Review & Audit

Review on existing Compliance Manual, including all policies and procedures to ensure your firm’s Compliance Manual has adequately met SFC regulatory and best practice requirements
Review on the existing organizational chart and short-form job descriptions;
Discuss and meet with selected members of management that will lead to higher order effectiveness of control in place
Review & discuss any previous SFC findings in relation to the Company;
Review of any complaints
Review of the client’s take on files

Review the Company’s AML-related policies and procedures to ensure that they are meeting the SFC regulatory requirements.

All said reviews will encompass both documentary and practical elements. During the documentary review, we will scrutinize:
- 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 that are not currently covered or inadequately dealt with in the existing policies and procedures of your firm.

Compliance Training and Exam Preparation

CPT training
SFC exam preparation, tutoring and mock exam for candidates. (Money Service Operator, MSO) exam preparation, tutoring and mock exam for candidates.

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Greatest Asset Of An Organization Is About Talents

Compliance & Licensing Applications (Review & Audit)

Smartplus's Service include: