Regulatory review /mock inspection for securities dealers and asset managers licenced by the SFC

Given the complexity of the regulatory requirements for the financial services industry increases over time, the need for asset management and securities brokerage companies to face the scrutiny of inspections from regulators also increases. Failing to comply with the latest regulatory requirements will not only result in greater reputational and business risks, but it will also result in public reprimands and fines.

With our in-depth experience and understanding of the regulatory landscapes in Hong Kong, Mazars can support securities dealers and asset managers to remain compliant and deliver on the SFC’s expectations. We can assist you in various areas prior to, during and after an SFC inspection. Besides, through mock inspections and compliance health-checks, we are able to identify and pre-empt concerns before they may become the subject of SFC scrutiny; and to help you get prepared and be ready for any of these kinds of inspection visits.

Mazars offers a wide range of financial advisory services to assist you in complying with the relevant regulatory requirements.