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We provide end-to-end services from SFC license application to outsourced regulatory compliance for financial institutions. If you are keen on license application service, please visit this link.
Upon obtaining SFC license approval, our team of compliance specialists will support you in establishing the initial regulatory compliance function. This includes implementing tailored compliance procedures to align with your business needs and training the relevant personnel in the key compliance areas. We assist firms in developing and maintaining a proportionate compliance framework covering regulatory obligations, internal policies, risk assessments, staff training, management reporting and being ready for regulatory inspections. This provides a structured approach to regulatory compliance management across the organisation.
As one of the top compliance consulting firms in Hong Kong, our professional team has practical experience supporting a broad range of financial institutions and regulated businesses in Hong Kong, including asset and fund management companies, securities brokers, financial advisory firms, insurance intermediaries, private wealth managers and other corporations licensed by or registered with the Securities and Futures Commission.
Our experience covers firms conducting regulated activities such as dealing in securities, advising on securities and asset management, including holders of Type 1, Type 4 and Type 9 licences, as well as businesses operating within Hong Kong’s wider financial services and capital markets ecosystem.
On an ongoing basis, our team will support you in the following areas:
As one of the top compliance service providers in Hong Kong, we make it easy to run an effective compliance function for small and medium sized licensed corporations and financial institutions that wish to outsource KYC and compliance activities without the cost and operational burden of building a fully resourced in-house team.
With our outsourced compliance services, you will be provided with the necessary guidance and support to navigate around the complex and ever-changing regulatory landscape. In our compliance consulting firms, we also front our experienced compliance practitioners to manage communications with the Securities Future Commission (SFC) and manage regulatory compliance for financial institutions.
Effective regulatory compliance management requires more than maintaining policies. Financial institutions must establish clear compliance ownership, documented procedures, appropriate internal controls, ongoing monitoring, regulatory risk controls, escalation processes and reliable audit trails.
Besides regulatory compliance management, Cambridge Advisers also provide outsourced KYC services, risk assessment and ongoing KYC remediation, while your management retains oversight and regulatory responsibility. As an experienced AML provider in Hong Kong, we help firms strengthen customer onboarding, due diligence and ongoing compliance processes. Working with an experienced specialist AML provider like Cambridge Advisers can help financial institutions improve consistency, strengthen documentation and address compliance resourcing gaps. In practise, our team can support both ongoing AML operations and specific remediation or customer review projects.
Our wider AML advisory services may include:
Firms may outsource KYC or AML as a standalone service or as part of a wider regulatory compliance management arrangement covering AML controls, compliance monitoring, policy implementation, staff training, regulatory reporting and inspection readiness. When selecting an AML provider, firms should consider the provider’s understanding of Hong Kong regulatory expectations, experience with SFC-licensed corporations and other regulated financial institutions, data-security standards and ability to maintain clear audit trails.
Cambridge Advisers has further established a strategic partnership with the world’s leading regulatory technology vendors to ensure that the solution we recommend will meet your unique business needs, which sets us apart as a tech-driven, customer centric compliance consulting firm in Hong Kong.
Along with in-depth compliance consultations, custom strategies, and hands-on guidance, we are committed to providing you effective solutions using powerful centralised tools.
It can be challenging and time-consuming to ensure full compliance with all rules and regulations. Not to worry about not finding reliable compliance service providers, our full-fledged team of compliance professionals will make your compliance obligations a worry-free endeavor.
With our expertise and guidance, you’ll always have peace of mind as a compliant financial institution.
In addition, you benefit from the following:
Let us help support your business so that you can focus on what matters most. Outsource compliance services to us today.
In the current environment where businesses faced increased competitions, regulatory compliance for financial institutions could be your business competitive advantage. Investors, customers, distributors and business partners will perform due diligence. They will ask questions such as do you have a compliance framework in place? Have you tested your business continuity plan? How do you mitigate technology risks? What are your confidentiality and data privacy policies? Did your audit report present any material findings?
Our outsourced compliance service team will help you design and maintain a compliance program with the end in mind – to help your business standout amongst your competitors.
A licensed corporation in Hong Kong can outsource the operational execution of compliance tasks to a third-party service provider, however it cannot outsource its ultimate regulatory responsibility and liability under SFC regulations and the Manager-in-Charge (MIC) framework.
A Hong Kong licensed corporation may outsource KYC processes and operational customer due diligence activities to an experienced service provider. This may include customer identification and verification, sanctions and adverse-media screening, risk assessment, source-of-wealth and source-of-funds review, periodic KYC refreshes and remediation.
However, outsourcing KYC does not transfer the licensed corporation’s ultimate regulatory responsibility. The firm should maintain appropriate oversight, documented procedures, access to customer records and controls over the outsourced service provider.
When selecting an AML provider, firms should consider the provider’s regulatory experience, screening capabilities, quality-control procedures, record-keeping standards and ability to support effective regulatory compliance management and regulatory inspections.
A professional compliance consulting firm has the right expertise to interpret and simplify rules and regulations for your business. An experienced consultant will be able to design a compliance framework that is suitable for your business and share industry insights and practices. The end result is a compliant business with reduced compliance costs and increased business competitiveness.
An outsourced compliance firm can provide partial to comprehensive outsourced compliance solutions, depending on your company needs and setup.
The SFC expects licensed corporations to review their internal control systems and compliance procedures at least once every 12 months (annually), as well as immediately following specific "trigger events."
The SFC enforces the annual timeline to ensure firms catch and rectify procedural gaps before they lead to systemic regulatory breaches.
Why this matters: Every financial year, you are required to submit a Business and Risk Management Questionnaire (BRMQ) to the SFC. Your responses must accurately state the frequency and scope of your internal audits.
When you have a trusted compliance consulting firm by your side, they can provide you with up-to-date knowledge of the various compliance regulations and their requirements. This will allow you to determine what suits your industry and organisation. The professional consultant will also enable you to understand the compliance liabilities and associated risks. Cambridge Advisers provides practical support for regulatory compliance for financial institutions in Hong Kong including but not limited to SFC-licensed corporations and is frequently invited to share industry insights in Hong Kong.
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