As global financial markets evolve, the SFC continues to strengthen its supervisory actions for licensed corporations. Heinbro understands that SFC inspections can be demanding for financial institutions while they continue to cover the day-to-day operations. At Heinbro, we work closely with our clients and the SFC to ensure the inspection is dealt with expeditiously. Based on our proven track record and solid experience in the compliance sector, clients can rely on Heinbro to assist them with any regulatory hurdles that may come about during any inspection.
We can assist with the following specific matters:-
- Review the Commission’s Documentation and Information Request (“D&IR”) (Part A and Part B);
- Review and settle the AML and Preliminary Questionnaires;
- Review the Company’s Audit Bundle in response to the Commission’s D&IR;
- Review and settle the Company’s overview of its business presentation;
- Assist in identifying and capturing the regulatory issues / hurdles that may arise from the documents and information contained the Company’s Audit Bundle;
- Work with management in responding to any questions raised by the SFC during its audit of the Company; and
- Attend on behalf and/or accompany management to any meetings at the SFC in order to discuss any issues arising during the audit.