Mock Inspections, Compliance Healthchecks and Inspection Remediation

Mock Inspections, Compliance Healthchecks and Inspection Remediation

ComplianceAsia provides mock inspections and compliance healthchecks for financial industry firms across Asia Pacific to ensure that your firm is prepared for regulatory inspections, investor due diligences and post regulatory inspection remedial support.

We examine your existing compliance policies, procedures, monitoring and systems, and undertake an operational review of the compliance integrity of the business processes in place.

Our reviews encompass a documentary and practical element. We interview staff to obtain descriptions of their work processes, review systems and walk through the operating processes from front to back office with a focus on how the process meets local compliance requirements on handling client assets, reporting to clients and investors, and market protection.

Our team of compliance experts can advise you on:

• Policies and procedures that are not in accordance with market best practice

• Areas which are not currently covered in existing policies and procedures

• Operational weakness in your existing practices

• Potential non-compliance with legislation and regulation

• Recommendations to address the findings together with a suggested timeline for the implementation of any remedial work

We provide support in Hong Kong and Singapore to firms who require assistance to complete remedial work post SFC, HKMA and MAS inspections. ComplianceAsia is also experienced in reporting to Asian regulators on the progress of remediation and new compensating policies and procedures to address their findings.

ComplianceAsia can also help you with internal audit

To see more of our other services, click here .