Service positioning：Turn "passive response" into "verifiable compliance"
Common inquiry topics (determined according to applicable regulatory systems)
how we do it：Mock review methodology and deliverables
Key points for responding to regulatory inquiries：High-frequency “thunder spots” and improvement directions
Timetable and collaboration methods
Fee description
FAQ：The issues that companies are most concerned about
Mock review and regulatory inquiry preparation
Mock review and regulatory inquiry preparation
Mock inspections should follow real regulatory inspection methods，take sample、original record、System logs and interviews with responsible persons to verify whether the system is actually implemented，instead of just checking if the policy file exists。The specific scope must be based on the customer's license、business model、Competent authority and inspection notice determined。
Implementation process
- Scope：Confirm inspection period、regulated business、regulatory basis、sample size、Delivery times and evidence standards。
- Data preparation：Create a document list and responsibility matrix，Collect customer due diligence、Transaction monitoring、complaint、training、Regulatory reports and management review records。
- Sampling and interviews：Select samples based on risk，Interview with business manager、Compliance Officer、MLRO、risk、finance、IT and related management。
- Discovery and rectification：record facts、in accordance with、root cause、risk level、Responsible person and rectification deadline，Avoid giving general conclusions。
- Retest and answer：Verify evidence of rectification，Unified written reply、Attachment index、Data caliber and regulatory communication records。
Fees and personnel conditions
Mock review is a professional service，There is no uniform government application fee。Professional fees depend primarily on the applicable regulatory regime、During inspection、Number of entities and business lines、sample size、System complexity、On-site interviews and retest rounds；If the project also includes license application、Renew or supervise payment，Should additionally be listed in accordance with the current fee schedule of the corresponding competent authority，The fee matrix of other licenses cannot be applied。The customer should arrange a business person in charge、Compliance Officer or MLRO、risk、finance、Involvement of IT/data leaders and management with decision-making authority。
Regulatory Basis and Ongoing Obligations
Regulatory inspections often also focus on business conduct、financial risk、governance、Actual implementation of internal controls and systems。Can be referencedHong Kong Securities and Futures Commission’s on-site inspection and off-site monitoring methods、Hong Kong Monetary Authority Regulatory FrameworkandFATF Anti-Money Laundering Recommendations。final scope、The time limit and rectification requirements shall be subject to the actual competent authority’s notice and applicable rules.。
