Financial Compliance

Navigating complex regulatory landscapes

Regulatory Affairs & Compliance

Why Choose Us

Studio AM is committed to providing assistance in navigating intricate regulatory environments, guaranteeing rigorous compliance with an extensive range of policies and guidelines, such as those governing securities, futures, listings, corporate governance, conduct standards, and cross-border matters. By means of rigorous oversight and effective reporting systems, we ensure adherence to regulations, thereby protecting your business activities from potential violations and bolstering the overall reputation of your organization.

01 Regulatory compliance monitoring and reporting

Ensure your organization meets Hong Kong’s regulatory requirements through effective compliance monitoring and reporting. Our team assists in developing and implementing robust monitoring systems, conducting regular assessments, and preparing accurate and timely reports for regulatory authorities.

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Compliance Monitoring Framework

We help you establish a comprehensive compliance monitoring framework tailored to your organization's specific needs and risk profile. Our team designs and implements monitoring systems, processes, and procedures to identify potential compliance breaches and ensure ongoing adherence to regulatory requirements.

Compliance Risk Assessments

Our experts conduct regular compliance risk assessments to identify and evaluate potential risks within your organization. We assess your compliance controls, policies, and procedures, and provide recommendations for improvement to mitigate identified risks and strengthen your overall compliance posture.

Regulatory Reporting

We assist in preparing and submitting accurate and timely regulatory reports to relevant authorities in Hong Kong, such as the SFC, HKMA, and HKEX. Our team ensures that your reports meet the required standards and deadlines, helping you maintain compliance and avoid potential penalties.

02 Compliance with securities and futures regulations

Navigate the complex landscape of Hong Kong’s securities and futures regulations with confidence. Our team provides expert guidance on compliance with the Securities and Futures Ordinance (SFO) and related rules and regulations issued by the SFC.

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Regulatory Interpretation

We provide clear and practical interpretations of the SFO and related regulations, helping you understand your obligations and ensure compliance. Our team stays up-to-date with the latest regulatory developments and provides timely advice on how to adapt your compliance practices.

Licensing and Registration

We assist with the licensing and registration process for securities and futures intermediaries in Hong Kong. Our team helps you prepare and submit application documents, liaises with the SFC on your behalf, and provides guidance on ongoing licensing and registration obligations.

Conduct and Compliance Training

We offer tailored training programs to educate your employees on the requirements of the SFO and related regulations. Our training covers topics such as market misconduct, insider dealing, disclosure of interests, and other key areas to ensure your team is well-equipped to maintain compliance.

03 Listing Rules and Corporate Governance Compliance

Ensure compliance with Hong Kong’s listing rules and corporate governance best practices. Our team provides expert guidance on the requirements of the HKEX Listing Rules and assists in developing and implementing effective corporate governance frameworks.

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Listing Rule Compliance

We provide comprehensive guidance on compliance with the HKEX Listing Rules, including the Main Board and GEM listing requirements. Our team assists with the preparation and review of listing documents, ongoing disclosure obligations, and compliance with corporate governance codes.

Corporate Governance Framework

We help you develop and implement a robust corporate governance framework that aligns with Hong Kong's regulatory requirements and best practices. Our team provides advice on board composition, committee structures, risk management, and internal controls to enhance your organization's governance practices.

ESG and Sustainability Reporting

We assist in preparing and reviewing your organization's Environmental, Social, and Governance (ESG) and sustainability reports in accordance with the HKEX Listing Rules and international standards. Our team helps you identify and disclose material ESG factors, ensuring transparency and compliance with reporting requirements.

04 Conduct of Business Rules Compliance

Comply with Hong Kong’s conduct of business rules and maintain high standards of integrity and fairness. Our team provides guidance on the Code of Conduct for Persons Licensed by or Registered with the SFC and other relevant conduct requirements.

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Code of Conduct Compliance

We provide expert advice on compliance with the Code of Conduct for Persons Licensed by or Registered with the SFC. Our team assists in developing and implementing policies, procedures, and controls to ensure adherence to the Code's requirements, including client dealings, conflicts of interest, and record-keeping.

Suitability and Disclosure Obligations

We guide you in meeting your suitability and disclosure obligations when dealing with clients. Our team helps you establish processes for assessing client suitability, providing appropriate product disclosures, and maintaining proper documentation to demonstrate compliance.

Employee Conduct and Training

We assist in developing and implementing employee conduct policies and training programs to ensure your staff adheres to the highest standards of integrity and professionalism. Our team provides training on topics such as ethical conduct, handling of confidential information, and prevention of market misconduct.

05 Cross-Border Regulations Compliance

Ensure compliance with cross-border regulations such as the Foreign Account Tax Compliance Act (FATCA) and Common Reporting Standard (CRS). Our team provides expert guidance on meeting these international tax compliance requirements in Hong Kong.

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FATCA Compliance

We assist in assessing your organization's FATCA status and guide you through the registration, due diligence, and reporting requirements. Our team helps you develop and implement FATCA compliance policies, procedures, and controls to ensure ongoing adherence to the regulations.

CRS Compliance

We provide comprehensive guidance on compliance with the CRS requirements in Hong Kong. Our team assists in conducting due diligence on account holders, implementing reporting systems, and preparing and submitting CRS reports to the Inland Revenue Department (IRD).

Cross-Border Tax Planning

We offer advice on cross-border tax planning strategies to help you manage your international tax obligations efficiently. Our team works closely with you to understand your cross-border activities and provides guidance on structuring transactions and operations to minimize tax liabilities while ensuring compliance with relevant regulations.

Expert Guidance for Regulatory Affairs and Compliance in Hong Kong

Our Expertise

We possess the requisite expertise and experience in regulatory affairs and compliance to assist you in navigating the intricate realm of financial regulations in Hong Kong.

Our specialized team remains informed about the most recent regulatory advancements and delivers customized solutions to guarantee that your organization maintains compliance and successfully accomplishes its business goals.

In-depth Industry Knowledge

Our team boasts extensive expertise in the regulatory obligations that are distinct to a multitude of sectors, such as asset management, banking, securities, and insurance. We are cognizant of the distinct obstacles encountered by every industry and offer sector-specific counsel to assist you in effectively fulfilling your compliance responsibilities. Our proficiency extends to various regulatory frameworks, guaranteeing all-encompassing assistance for your organization.

Proven Track Record of Success

Our track record is comprised of effectively assisting Hong Kong clients with their regulatory compliance requirements. Numerous organizations have been assisted by our team in navigating complex regulatory challenges, establishing robust compliance programs, and ensuring ongoing adherence to applicable laws and regulations. We take great pride in our commitment to providing clients with superior services and fostering enduring relationships founded on trust and dependability.

Financial Compliance

Regulatory Affairs & Compliance

Why Choose Us

01

Regulatory compliance monitoring and reporting

02

Compliance with securities and futures regulations

03

Listing Rules and Corporate Governance Compliance

04

Conduct of Business Rules Compliance

05

Cross-Border Regulations Compliance

Expert Guidance for Regulatory Affairs and Compliance in Hong Kong

Our Expertise

In-depth Industry Knowledge

Proven Track Record of Success

Navigating Regulatory Complexity with Confidence