Streamline success
About Our Retainer Program
Streamline your regulatory reporting processes, including the preparation and submission of financial returns, capital adequacy reports (CAR), and other mandatory filings to the SFC and HKMA.
Our team stays abreast of the latest reporting requirements, such as the OTC derivatives reporting regime, ensuring accurate and timely compliance.
01
Financial Returns Preparation & Submission
Prepare and submit financial returns to the SFC (e.g., Form 1, 2, 3) and HKMA (e.g., MA(BS)1, MA(BS)1B, MA(BS)1C), ensuring accuracy and timeliness in accordance with the Securities and Futures (Financial Resources) Rules (FRR) and Banking (Disclosure) Rules, respectively.
02
Capital Adequacy Reporting & Monitoring
Calculate and report capital adequacy ratios (CAR) in accordance with the Securities and Futures (Financial Resources) Rules (FRR) and Banking (Capital) Rules (BCR), including the preparation of relevant templates and supporting documentation, and assist with the implementation of internal capital adequacy assessment processes (ICAAP).
03
OTC Derivatives Reporting & Compliance
Comply with the OTC derivatives reporting regime, including trade reporting to the Hong Kong Trade Repository (HKTR), managing unique transaction identifiers (UTIs), and ensuring the accuracy and completeness of reported data in accordance with the Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping Obligations) Rules.
04
Regulatory Disclosure Preparation & Filing
Assist with the preparation and submission of regulatory disclosures, such as Pillar 3 disclosures, remuneration disclosures, and other required public disclosures, in accordance with the Banking (Disclosure) Rules and relevant disclosure templates, ensuring transparency and adherence to regulatory requirements and industry best practices.