Hong Kong
Services
LOCATIONS
Service Overview
- Registration
-
- SFC Corporate and Individual License Applications, including addition of regulated activities and uplift of licensing conditions
- US SEC registration and advisory
- US CFTC registration and advisory
- Compliance Program Support
-
- Tailored ongoing advice and support for SFC, SEC, CFTC regulations AIFMD marketing advisory
- Compliance Monitoring Plan design, development and execution
- Compliance Manual drafting, updating and review
- Email and social media reviews
- Allocation testing and management
- Expert network chaperoning
- Marketing and advertising reviews
- Periodic regulatory filings including BRMQs, Financial Resources Returns, Annual Returns
- Annual compliance review
- Tailored compliance training both on and offsite
- ESG Support
- Personal trading and employee compliance support
- Cyber policy design and support
- Business continuity planning and support
- Global marketing support (SFC, SEC, FCA, Best Practice)
- Resources Returns, Annual Returns
- Ad-hoc regulatory form filings including “12.5” Notifications, Record Keeping/EDSP Approvals
- Business
Support -
- Operational and compliance due diligence
- Vendor management and due diligence
- Trade surveillance & support
- Marketing surveillance program development and implementation
- Internal audit co-sourcing and support
- AML and OFAC support and remediation
- Crypto currency policy and procedures support
- Testing
-
- Full-Scope Mock Inspections
- Annual and quarterly testing programs
- Fee and expense reviews
- Targeted “Health-Checks”
- Regulatory Heat Maps
- Thematic Reviews
- Resource
Management -
- Long and short term secondments
- Onsite and off site outsourcing
- Exam & Crisis Management
-
- Regulatory exam support and investigatory management
- Document review and production
- Mock interviews and in review preparation
- Remediation and corrective action planning
Optima Updates
Subscribe to our newsletter and receive regular updates
on the regulatory landscape and our services.
Thank you, you are now subscribed to Optima updates
SUBSCRIBE