Streamline success
About Our Retainer Program
Respond effectively to compliance breaches and regulatory inquiries with our expert investigation and remediation services.
Our team conducts thorough investigations, identifies root causes, and develops comprehensive remediation plans to address issues and prevent recurrence, working closely with regulatory bodies such as the SFC and HKMA throughout the process.
01
Compliance Breach Investigation Support
Provide ongoing support in investigating potential compliance breaches, including gathering evidence, conducting interviews, analyzing findings, and preparing investigation reports, to ensure the institution’s continuous ability to identify, assess, and address compliance issues in a timely and effective manner.
02
Root Cause Analysis and Reporting
Conduct regular root cause analyses for identified compliance breaches, prepare comprehensive reports with actionable recommendations, and assist in presenting findings to management and relevant committees, to support the institution’s ongoing efforts in preventing recurrences and strengthening its compliance framework.
03
Remediation Plan Execution and Tracking
Develop, execute, and continuously track remediation plans for identified compliance issues, including defining action items, assigning responsibilities, setting timelines, and monitoring progress, to ensure the institution’s ongoing ability to address compliance gaps and weaknesses in a structured and timely manner.
04
Compliance Monitoring and Testing Program Maintenance
Develop, implement, and maintain a risk-based compliance monitoring and testing program, including defining testing scope, frequency, and methodologies, executing tests, analyzing results, and reporting findings to provide ongoing assurance on the effectiveness of the institution’s compliance controls and identify areas for continuous improvement.