Assist in the drafting and submission of various license applications to the Securities & Futures Commission, including business plan, budget / cashflows, policy and procedures write-ups.
Assist in the drafting of corporate compliance manual, policies and operating procedures. Provision of advice on margin financing risk assessment. Assist and provide advice in drafting replies to regulators including enquiries from intermediary supervision and enforcement.
Provision of an Expert Witness statement to securities and corporate finance related issues. Provide an independent review of compliance and operational procedures.