SFC Mock Inspection Services
As the regulatory landscape for asset managers continues to evolve, ensuring your firm remains fully aligned with the Securities and Futures Commission’s (SFC) requirements has never been more crucial.
In recent years, the SFC has highlighted key areas of focus for asset managers, particularly for those overseeing private funds and discretionary accounts (Type 9). With heightened scrutiny on risk management, conflicts of interest, and fiduciary duties, it’s essential for firms to adopt a proactive approach to compliance.
At Waystone, we recognise the importance of not only meeting the SFC’s regulatory requirements, but also ensuring your firm is fully prepared for any regulatory review. With over 100 compliance specialists globally, including extensive expertise in Hong Kong, we are well-positioned to guide you through the complexities of SFC regulations. Our SFC Mock Inspections help identify potential compliance gaps before the SFC conducts their inspections, giving you the opportunity to address them proactively.
Our Solution
Waystone’s team of experienced compliance professionals specialise in navigating the regulatory challenges of a SFC inspection. We offer a comprehensive suite of SFC Mock Inspection services including:
- conducting gap analysis and reviewing existing policies and procedures against SFC requirements
- drafting of policies and procedures to ensure that your firm meets the SFC regulatory requirements
- performing mock inspections to identify any potential gaps in internal processes and controls.
If you would like to find out more about our SFC Mock Inspection services, please reach out to your usual Waystone Compliance Solutions representative, or contact our APAC Compliance Solutions team below.