Services

• Business development, marketing campaign and operational build out and support for start -ups, new consumer products (B2C) and B2B (new distributors and franchises) business model

• New business licensing application eg SFC, HKMA Virtual Bank, MSO, Money lender etc
• Network of Responsible officers and Executive officers, COO, Legal, Compliance,Finance, Risk, Operations
• Uplift or waiver of licensing conditions
• Ongoing regulatory filing and obligations support

• Answer queries and provide guidance on regulations such as AMLO, Mifid, Dodd Frank, FCPA, Exchange rules, SFC codes of conduct for licensed staff, fund managers, corporate finance advisors, electronic trading, takeover code, listing rules, HKMA Code of Banking Practice, TMA Code of Conduct, Benchmark, HKMA Supervisory Policy Manuals etc
• Assist clients in self reporting incidents to regulators, fact findings, gap analyses and remediation plans

• Review/ Draft/ Update KYC/ AML Policy and develop Key Operating Procedures and Controls in accordance with SFC Guideline
• Review client account documentations
• Conduct gap analysis, advise remediation plan, and execute retifying actions

• Regulatory advice, remediation and licensing for crypto currencies funds, trading platforms, crypto exchanges, ico, review of prospectus, gap analysis etc.

• Offer drafting and implementation of policies, key operating procedures, corporate governance framework
• Monitor and update on regulatory, legal and markets developments
• Offer special topics training, new regulation implementation
• Gap Analysis, desk review, recommendation and remediation

• In-depth independent compliance testing with risk based approach
• Mock regulatory visits and inspections
• Streamline and remove duplicate and complex processes
• Provide practical and sustainable testing findings and recommendations with overarching objective to support business growth

• Offer wide range of training programs with practical content and interactive presentation to address specific compliance topics, to promote a sustainable and robust compliance culture within the business.
• Sample topics include: new hire training, cross border marketing, client communication, market manipulation, information barrier and controls, know your client and client onboarding procedures, anti-money laundering and anti fraud prevention and financial crime control, sanctions and embargoes.

• Train distributors on your financial products, create or enhance product suitability and kyc framework
• Review other third party relationships such as vendors and outsourcing contracts, supply chains and distribution chains and customer base to identify any gaps, unethical business practices and risks to the client’s business and reputation
• Develop effective process and internal controls for managing third party relationships

• Provide transactional due diligence support
• Review transactions from regulatory compliance perspective and take into account cross border, transaction related regulations and reputational risk issues
• Review termsheets and related transactional documents from compliance perspective

• Provide new product development and related due diligence such as suitability, distribution channels
• Review target customers, product and risk rating profile
• Review marketing materials, pitch books, termsheets, disclaimers and product specific compliance considerations

• Offer project based support in regulatory inquiries and investigations, implementation of regulatory findings, regulatory change consultation and implementation, restructuring of businesses, litigation support, internal investigation or disciplinary proceedings
• Project implementation team to assist in your business development or project remediation

• Lead and assist in remediation work with objective of closing internal or external audit and regulatory findings
• Provide expert advice, execute the remediation and get buy in for the closing of the findings

• Advise on regulatory compliant internal control and corporate governance
• Advise in organization and financing structure to meet listing requirement

*VAM Advisory is not licensed by Securities and Futures Commission and we do not offer regulated activities services as defined in Securities and Futures Ordinance