Compliance Outsourcing
合規外判
1
AML/CFT policies and procedures
We can help to set up the AML/CFT policies and procedures according to the organization structure, business scope and size of operation that applicable to your company. We can also conduct gap analysis on the latest AML/CFT regulations and your internal policies and procedures. Since the AML/CFT laws and regulations are constantly changing, we can assist you to develop tailored review mechanism for ensuring the AML/CFT policies and procedures remain up-to-date and are relevant to your business operation.
反洗錢及打擊恐怖主義融資政策和程序
我們可以根據適用於貴公司的組織結構,業務範圍和運營規模,幫助制定AML / CFT政策和程序。我們還可以對最新的AML / CFT法規以及您的內部政策和程序進行差距分析。由於AML / CFT法律法規不斷變化,我們可以幫助您制定量身定制的審核機制,以確保AML / CFT政策和程序保持適時更新並符合您的業務需要。
2
Customer ML/TF risk assessment methodology and profiling
As one of the key risk assessment processes, a robust customer risk assessment methodology and profiling should be developed with reference to your company’s scale and size of business. In this regard, we can provide support by developing and/or refining your customer risk assessment methodology, enhancing the risk classification and profiling and drafting the internal procedures and guidelines, so as to properly conduct the risk-based approach for customer risk assessment and risk mitigations.
客戶洗錢及恐怖主義融資風險評估方法和分析
作為關鍵風險評估流程之一,應根據貴公司的規模和業務規模製定有效的客戶風險評估方法和分析。在這方面,我們可以通過制定和/或改進您的客戶風險評估方法,加強風險分類和分級以及起草內部程序和指南來提供員工遵守,從而正確地執行以風險為本的客戶評估和風險緩解方法。
3
Customer due diligence
We can assist in performing customer due diligence for your clients and/or enhancing your workflows of customer due diligence and can provide professional advices and support on the requirements of due diligence information in the course of client on-boarding, periodic review, triggering event and enhanced due diligence etc. This will help your company to orderly expand your business as well as compliance with the laws and regulations.
客戶盡職調查
我們可以協助對貴公司的客戶進行客戶盡職調查和/或優化您的客戶盡職調查工作流程,並可以在認識和了解客戶,定期審查,觸發事件和過程中提供有關盡職調查信息要求的專業建議和支持,和在高風險情況下如何加強盡職調查等。這將有助於貴公司有序地擴展業務以及遵守法律法規。
4
Name Screening
We can assist you in enhancing the sanction and politically exposed persons (“PEP”) risk management by screening the names of your clients or potential clients (together with related parties) with renowned and viable commercially available database, facilitating and smoothening the workflows of your account opening, client onboarding and transaction screening, and providing support for the record keeping of screening results.
客戶名稱篩查
我們可以通過使用可靠且具信譽的商業數據庫篩查您的客戶或潛在客戶(以及相關方)的名稱來幫助您加強對制裁和政治人物(“PEP”)的風險管理,從而促進和理順您的工作流程 -開戶、認識和了解客戶、交易篩查等,並為篩查結果的記錄作保存。
5
On-going monitoring and suspicious transactions reporting (“STR”)
We can assist you to conduct the on-going monitoring by analyzing the transaction data (where applicable), reviewing the customer profile and parameters as well as preparing the drafting of the STR report to the Joint Financial Intelligence Unit (JFIU) when necessary. Besides, we can also provide you with the advices of STR workflows with an aim to streamline and smoothen the relevant processes.
持續監控和可疑交易報告(“STR”)
我們可以通過閣下提供的交易數據進行分析和監控,審查客戶資料以及在必要時為閣下起草STR報告給聯合財富情報組(JFIU)。此外,我們還可以為您提供STR工作流程的建議,旨在簡化和理順相關流程。
6
Staff training
To deepening the understanding of the AML/CFT laws and regulations, we can tailor specific AML/CFT seminars and trainings to your staff for raising their awareness and to perform their duties properly.
員工培訓
為了加深對AML / CFT法律法規的理解,我們可以為您的公司員工量身定制特定的AML / CFT研討會和培訓,以提高他們的意識和有效執行相關工作。
7
Creation, Maintenance and Keeping of Significant Controllers Register (“SCR”)
We can help to ascertain and maintain up-to-date information on beneficial ownership by way of keeping a Significant Controllers Register of your company under the Companies (Amendment) Ordinance 2018 (“the Amendment Ordinance”) that came into operation on 1 March 2018. We can also act as the designated representative that serves as a contact point for providing information about the SCR and related assistance to law enforcement officers.
重要控制人(“SCR”)登記冊的建立、備存和維護
根據2018年3月1日開始實施的“2018年公司(修訂)條例”(“修訂條例”),我們可以通過維護和備存貴公司的重要控制人登記冊來幫助確定和保持有關受益所有權的最新信息,我們還可以作為指定代表,作為聯絡點,向執法人員提供有關SCR和相關援助的信息,以使貴公司符合“修訂條例”要求。