SFC Services – SmartHKplus.com

人才是組織最大的資產

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

Accounting Services

Monthly accounting services

Monthly FRR review services

合規服務

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
其他監管通信和回報的副本。
Areas of potential non-compliance with legislation and regulation;
貴公司的政策和程式可能與市場最佳實踐不符的領域；
貴公司現有實踐中的運營薄弱領域；以及
Areas which are not currently covered or at inadequately dealt with in the existing policies and procedures of your firm.

IT services

執行證監會第1、4、9類業務IT MIC職能
Regularly review of IT infrastructure and data
與證監會要求保持同步
處理與IT相關的審核
Perform yearly drill for BCP
組織和協調相關的IT培訓。
網路故障排除
System and network architecture analysis, description;
用户站IT設備布線；
移動郵件設置；
Mobile VPN configuration.

獲得報價