Compliance Advisory / Project Compliance Advisory
is to ensure that the company/ project adheres to external regulations ad internal controls in an endeavor to protect investors and reduce systematic risk, as well as financial crime.
In general, it consists of five key functions:
To identify the risks faced by an organization and provide suggestion to manage them. (identification)
To design and implement controls to protect an organization from those risks and to avoid a future recurrence of compliance failure (prevention)
To monitor and report on the effectiveness of those controls (monitoring)
To resolve compliance difficulties when they occur (resolution)
To advise the business on rules and controls (advisory)
HK IPO Compliance Consulting
Initial Public Offering, IPO, is the process of selling shares of a private corporation to the public for the first time to raise capital. From the preparation of the registration statement with Securities and Futures Commission ("SFC") to the development of IPO road show, IPO Compliance Consulting is needed to help the company ensure the entire operations to be complied with the regulations and laws.
Compliance training is the process of educating staff on aspects of company policies, laws and regulations relevant to their daily job responsibilities. It is usually conducted for three goals:
Avoiding contravention by employees that could lead to the company bearing legal liabilities
Laying the groundwork for a partial or complete defense for employee violating regulations
Creating business value and sharping its competitive edge