Regulatory Support

Regulatory Support

Regulatory Support

Licensing

Licensing

Licensing

CACHET FAS comprises of a group of professional experts.  We have helped asset management companies, brokerages, public companies and other financial firms to obtain licences for their representatives and businesses in Hong Kong.  
We help you to decide on the right licences and the best approach to obtain them within your resources and time frames.  We: 
  • Develop your business plan, compliance manual and other documents to ensure compliance with SFC regulations
  • Prepare and submit your application
  • Follow up on your application with SFC

Ongoing Licensing Support -

SFC Approvals & Notifications

CACHET FAS helps you update and maintain your compliance infrastructures so you can focus on your business. We help you with the following:

  • Ongoing licensing of your LRs and LOs,

  • Assist with SFC enquiries

  • Notify and get approval for your material organizational changes

  • Assist with other statutory compliance obligations.

Compliance Review

CACHET FAS provides periodic advisory on the changing regulatory environment to ensure your business compliance infrastructure and documentation fulfill the latest regulatory requirements.  We keep you abreast of upcoming obligations.

Inspections & Audits

CACHET FAS provides advice and mock inspections to review your records and procedures.  We help you prepare your business for routine SFC inspections or audits.  We make sure your compliance controls and documentation are in good shape.

Training

CACHET FAS helps clients meet their compliance workforce requirements through training programs that count towards fulfilling minimum CPT requirements.

  • Marketing and Advertising Materials Compliance to Sales and Marketing staff

  • Anti-Money Laundering / Know Your Client / Account Opening Training

  • Trading related regulations

  • Latest regulations and requirements

  • New hire training

  • Other training topics are also available upon request

Regulatory Research & Advice

As your compliance partner, CACHET FAS updates you on the latest regulatory developments, perform researches and help you understand how such changes can impact your business.