Heinbro is a quality and cost effective alternative to in-house compliance for growing and mature businesses. Companies that engage Heinbro need regular, ongoing compliance support, but do not wish to hire a full-time in-house lawyer and/or compliance officer, or add more full-time resources to their existing staff.

Heinbro customizes the level of support needed to capture your requirements. This enables clients to have access to dedicated support at cost effective rates.

The services we provide, but not limited to, are as follows:

  1. Our Managing Director and Senior Consultant Mr. Adrian Kwok will be your contact point and assigned to oversee your file and remind you of upcoming compliance deadlines;
  2. One (1) hour meeting per month to discuss any matters of concern and perform a review;
  3. Contactable by phone and email during work hours;
  4. Day to day compliance support on all compliance related issues;
  5. Handling SFC’s inquiries;
  6. Updating the Company with the latest changes to the SFO, subsidiary legislation, codes and guidelines;
  7. Monitoring the Company’s reporting obligations to the SFC;
  8. Monitoring the Company’s corporate governance;
  9. Monitoring the Company’s registries ( CPT etc);
  10. Assisting the firm with settling complaints from clients and the SFC;
  11. Preparing and filing of any notification to the SFC on any changes to responsible officers and representatives;
  12. Review internal risk reports, if any;
  13. Review Financial Resources Returns before lodgment with the SFC;
  14. Review and settle SFC’s annual Business and Risk Management Questionnaire before lodgment;
  15. Liaise with the auditor and accountant, if necessary;
  16. Assist with onboarding new staff;
  17. Draft and provide the Company with any new policy, which comes about due to a change in the regulatory requirements (MIC etc);
  18. Onsite training should the SFC’s rules and regulatory requirements change;
  19. Onsite training should the Company’s policies and procedures change or are amended and;
  20. Annual AML/CFT and Insider Dealing online training.

  • Call us on +852 2811 1708
  • Email us at heinbro@heinbro.com
  • Find us at Level 18A, Heng Shan Centre 145 Queen’s Road East Wan Chai, Hong Kong

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© Heinbro Consulting 2018