合规和风险管理

合规和风险管理

合规和风险管理

We provide outsourced compliance services to ensure that you are able to remain compliant with the rules and regulations set out by your local regulatory bodies. We can work with you to ensure that you have robust systems and controls in place and provide any additional compliance or risk management support that you may need. Our knowledgeable team specialises in compliance across multiple sectors ranging from asset management, private banking, investment banking and reinsurance.

This service is ideal for SMEs, those who are thinking of setting up in a new region, looking to consolidate an existing business, in need of temporary cover when there are unexpected staff absences or even for organisations that wish to undertake additional compliance training. 

Equiom’s managed compliance solutions are the perfect complement to any organisation and deliver considerable benefits to clients. Our hands-on experience means that we are able to help our clients develop and manage effective compliance programs to identify issues before they become violations.

 

Our compliance and risk management services include: 

  • Providing suitable individuals to act as Compliance Officer and/or Money Laundering Reporting Officer (MLRO) on an outsourced basis 
  • Training and mentoring or ad/hoc support for an existing in-house Compliance/AML function
  • Assisting in preparation for regulatory risk assessments or responding to enforcement proceedings
  • Conducting mock interviews to prepare individuals for authorisation by the local regulator
  • Compliance and AML focused audits, reviews or special projects
  • Creating mandatory compliance and anti-money laundering (AML) and counter terrorist financing materials
  • Delivering all aspects of compliance and AML training as required by the regulator

We provide advice and guidance on:

  • the firm’s ability to meet local regulatory requirements 
  • the duties and responsibilities of Authorised Individuals 
  • a firm’s policies, procedures, systems and controls 
  • regulatory risk assessments, thematic reviews or regulatory visits 
  • the set-up of the compliance function and creating a strong compliance culture

Benefits of outsourcing your compliance function include: 

  • Access to a pool of subject matter specialists
  • Flexibility of scale – ability to resource up or down as needed
  • Reduces the burden on your internal infrastructure
  • Can help to reduce your operating costs 
  • Can address a short-term or long-term shortage of talent
  • Help to navigate the increasing number and complexity of regulations. 

其他相关服务

以下办公处提供 合规和风险管理

不确定哪个昊诚办公室适合您的需求?咨询我们的专家

不确定哪个昊诚办公室适合您的需求?咨询我们的专家

联系我们

由于商业用途,该页面未被完全翻译为中文。若您需要与一位讲中文的顾问联络,请邮件联系 enquirieshk@equiomgroup.com, +852 3188 1143, 谢谢。

Equiom quote/image

通过我们专家的孜孜努力,我们赢得了客户的信任,客户知道我们时刻考虑他们的利益,并始终积极寻找满足他们需求的解决方案。

昊诚的独特方式
Michael Nudd, 全球风险管理总监
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如果您有任何问题,或者想了解昊诚的更多后续动态,请选择以下选项之一。

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