Regulatory compliance and risk management services for securities brokerage companies regulated by the SFC
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Regulatory compliance and risk management services
This publication provides an overview of the key regulatory requirements of the Hong Kong Securities and Futures of Commission for companies in the securities industry (i.e. brokers / dealers / margin financiers). Mazars offers a wide range of financial advisory services to assist you in achieving compliance with rules and regulations relevant to you.
The securities industry is one of the key pillars supporting the financial services sector of Hong Kong. In view of the increasing cases of compliance breach and market misconduct by licensed corporations, the SFC is raising its expectations in regulating the industry.
The key regulatory focus areas are listed as follows:
- Anti-Money Laundering (“AML”)
- Governance and Risk Management
- Client Assets Protection
- Securities Margin Financing
- Investment Products Suitability
- Manager-In-Charge (“MIC”) Responsibilities & Obligations
At Mazars in Hong Kong, we have extensive experience working with the diversity of financial services players. We assist major financial institutions including securities brokerage companies, asset managers, investment and corporate banks, retail and private banks, central banks, and national regulators in dealing with business and regulatory issues, domestic and international.
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Jonathan Wan Partner, Financial Services Hong Kong
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