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
Attend on behalf and/or accompany management to any meetings at the SFC in order to discuss any issues arising during the audit