Hong Kong SFC Mock Inspection Services
As the regulatory compliance landscape for asset managers in Hong Kong 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) in Hong Kong. With heightened scrutiny on risk management, conflicts of interest, and fiduciary duties, it’s essential for firms operating in Hong Kong to adopt a proactive approach to SFC compliance.
At Waystone, we recognise the importance of not only meeting the SFC’s regulatory compliance requirements, but also ensuring your firm is fully prepared for any regulatory review.
Our Approach to SFC Mock Inspections
We conduct SFC Mock Inspections through a structured, risk-based approach. Our process includes reviewing internal compliance frameworks, identifying potential gaps, and simulating key aspects of an SFC inspection. With deep regulatory expertise and a global team of compliance professionals, we support firms in strengthening their overall compliance posture.
Comprehensive SFC Mock Inspection Solutions in Hong Kong
Waystone’s team of experienced APAC 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 compliance policies and procedures against SFC requirements
- drafting of SFC-compliant policies and procedures to ensure that your firm meets the latest SFC regulatory requirements
- performing mock regulatory inspections to identify any potential gaps in internal compliance processes and controls.
Why Choose Waystone
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 regulatory compliance gaps before the SFC conducts their regulatory inspections, giving you the opportunity to address them proactively.
If you would like to find out more about our Hong Kong SFC Mock Inspection services, please reach out to your usual Waystone Compliance Solutions representative, or contact our APAC Compliance Solutions team below.