Financial Compliance

Safeguarding financial systems through robust measures

Financial Integrity & Security

Why Choose Us

Safeguard your organization against financial crimes and ensure compliance with Hong Kong’s regulatory landscape. Our comprehensive suite of services includes AML/CTF compliance, KYC/CDD procedures, financial crime prevention and detection, and sanctions compliance and screening, all tailored to your unique needs.

  • Experienced professionals and former regulators
  • Tailored solutions for your needs
  • Up-to-date technology-driven approach
  • Proven track record across industries
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01

Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) compliance

Ensure compliance with Hong Kong’s AML/CTF regulations through comprehensive risk assessments, robust policies and procedures, and ongoing monitoring and reporting.

AML/CTF risk assessments and gap analysis
Our experts conduct thorough assessments of your organization's AML/CTF risks and identify potential gaps in your existing controls. We provide detailed recommendations to enhance your AML/CTF framework and ensure compliance with Hong Kong's regulatory requirements.
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Development and implementation of AML/CTF policies and procedures
We assist in developing and implementing tailored AML/CTF policies and procedures that align with your organization's risk profile and business operations. Our team ensures that your policies and procedures are up-to-date and comply with the latest regulatory changes.
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Suspicious transaction monitoring, investigation, and reporting
We help you establish a robust transaction monitoring system to identify and flag suspicious activities. Our experienced investigators conduct in-depth analyses of flagged transactions and assist in reporting suspicious transactions to the Joint Financial Intelligence Unit (JFIU) in a timely manner.
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02

Know Your Customer (KYC) and Customer Due Diligence (CDD) procedures

Implement robust KYC/CDD procedures to verify customer identities, assess risk profiles, and ensure compliance with Hong Kong’s regulatory requirements.

Customer identification and verification
We assist in developing and implementing procedures to accurately identify and verify customer identities in line with HKMA and SFC requirements. Our team helps you collect and validate necessary customer information and documentation to ensure compliance and mitigate identity-related risks.
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Risk-based customer due diligence and enhanced due diligence
We help you establish a risk-based approach to customer due diligence, considering factors such as customer background, occupation, source of funds, and expected account activity. For high-risk customers, such as politically exposed persons (PEPs) and those from high-risk jurisdictions, we assist in conducting enhanced due diligence measures to mitigate potential risks.
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Ongoing monitoring and review of customer information and transactions
Our experts help you implement a robust system for ongoing monitoring of customer transactions and periodic reviews of customer information. We assist in identifying unusual or suspicious patterns and ensure that your customer records remain accurate and up-to-date.
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03

Financial Crime Prevention and detection

Protect your organization from financial crimes through advanced detection techniques, robust controls, and proactive collaboration with relevant authorities.

Financial crime risk assessments and gap analysis
Our experts conduct comprehensive assessments of your organization's financial crime risks, including fraud, bribery, corruption, and other illicit activities. We identify potential vulnerabilities in your existing controls and provide recommendations to strengthen your financial crime prevention and detection framework.
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Implementation of financial crime prevention and detection controls
We assist in designing and implementing robust controls to prevent and detect financial crimes. Our team helps you establish policies, procedures, and systems to monitor transactions, identify red flags, and respond to potential threats effectively.
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Investigation and reporting of potential financial crime activities
In the event of suspected financial crime activities, our experienced investigators conduct thorough investigations to gather evidence and assess the extent of the issue.
We assist in reporting confirmed cases to relevant authorities, such as the Hong Kong Police Force and the Independent Commission Against Corruption (ICAC), and provide support throughout the investigation process.
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04

Sanctions compliance and screening

Navigate complex sanctions regulations and minimize risk exposure through comprehensive screening, risk assessment, and ongoing monitoring.

Sanctions risk assessments and gap analysis
Our experts assess your organization's exposure to sanctions risks based on factors such as jurisdiction, product, and customer type. We identify potential gaps in your existing sanctions compliance controls and provide recommendations to enhance your framework and align with regulatory requirements.
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Development and implementation of sanctions compliance policies and procedures
We assist in developing and implementing comprehensive sanctions compliance policies and procedures that align with Hong Kong and international regulations. Our team ensures that your policies and procedures are up-to-date and effectively communicated to relevant stakeholders.
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Sanctions screening and monitoring of customers, transactions, and business partners
We help you establish a robust sanctions screening process to identify and manage potential sanctions risks. Our experts assist in screening customers, transactions, and business partners against relevant sanctions lists, such as the Hong Kong Gazette and the United Nations Security Council (UNSC) Consolidated List, and provide guidance on appropriate actions for potential matches.
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Fortify Your Financial Integrity with Our Unparalleled Expertise

Our Expertise

Our Expertise in Financial Integrity and Security is unmatched, thanks to our team's deep knowledge, practical experience, and proven track record. We take pride in delivering tailored solutions that effectively address your unique challenges and ensure compliance with Hong Kong's stringent regulations.

In-depth Knowledge and Practical Experience

Our team comprises highly experienced AML/CTF professionals, including former regulators and industry practitioners. We bring a wealth of knowledge and practical expertise to help you navigate Hong Kong’s complex AML/CTF landscape, ensuring compliance with the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO) and relevant guidelines issued by the Hong Kong Monetary Authority (HKMA) and Securities and Futures Commission (SFC).

Tailored Solutions for Effective AML/CTF Programs

With a proven track record of assisting clients from various industries, we excel in developing and implementing effective AML/CTF programs. Our tailored approach ensures that your AML/CTF controls are not only compliant but also efficient and aligned with your business objectives. We work closely with your team to identify and mitigate risks while minimizing the impact on your day-to-day operations.

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Safeguarding Your Financial Integrity with Unrivaled Expertise and Tailored Solutions in Hong Kong's Regulatory Landscape.

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