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Independent and efficient assessments of your internal control environment.
Meet your Regulatory Compliance Requirements
Perform annual internal control assessment as per regulatory or licensing requirements.
Manage the Operational Risks of your Business
Benchmark your operational process and control set up with industry peers and global best practice. Provide yourself with the most effective and practical solutions with the support of robust processes to further enhance your firm’s operational capabilities and efficiencies.
Get the Necessary Independent Assurances through Regular Internal Audits
Provide assurance to your Board and key stakeholders on the design and operating effectiveness of the firm’s policies and procedures and oversight by senior management.
Our Approach and Methodology
Customer Facing Activities
Sales & Marketing and Customer Relationship Management
Customer Acceptance & Ongoing Monitoring
Investment activities
Portfolio Management
Trading
Operations
Business support activities
Finance
Human Resources
Information Technology and Business Continuity Management
Outsourcing
Governance & Risk Management
Governance
Risk Monitoring
Compliance Monitoring
Legal Support
•Contracts review
Meet Our Head of Internal Audit
Victor Chan, Director for Internal Audit Services
Victor is a U.S. Certified Public Accountant . He was with a big 4 risk advisory and internal auditor of an European investment bank in Hong Kong. Victor has expertise in the financial services industry and extensive knowledge of the U.S., Hong Kong and Singapore market. Starting his career with a U.S. Investment Bank in 1999 and he possesses strong technical skills in accounting, operations, compliance, risk management as well as financial regulations.
