Ask anything about Hong Kong regulatory compliance. Answers use your firm's live compliance data as context and cite the relevant SFC codes where possible.
Controls library, monitoring plan and findings
| Review | Area | Scheduled | Status |
|---|---|---|---|
| Marketing materials & PI classification review | Distribution | 28 Aug 2026 | Completed |
| Best execution thematic review | Trading | 26 Oct 2026 · in 9d | In Progress |
| AML periodic review sampling | AML/CFT | 31 Dec 2026 · in 75d | Planned |
| GenAI tool usage review | Technology | 4 Feb 2027 · in 110d | Planned |
4 of 4 monitoring plan · click or press Enter on a row to view or edit
| Control | Area | Frequency | Effectiveness | Last Tested |
|---|---|---|---|---|
| Email surveillance sampling | Communications | Quarterly | Effective | 29 Jul 2026 |
| NAV oversight review of administrator | Valuation | Monthly | Effective | 17 Sept 2026 |
| PA dealing pre-clearance & statement matching | Conduct | Quarterly | Partially Effective | 2 Sept 2026 |
| Pre-trade restricted list check | Trading | Ongoing | Effective | 18 Aug 2026 |
4 of 4 controls library · click or press Enter on a row to view or edit
| Finding | Severity | Status | Due | Owner |
|---|---|---|---|---|
| E-comms policy lacks GenAI usage controls | Medium | Open | 6 Nov 2026 · in 20d | Dennis Ng |
| PA dealing broker statements submitted late by 2 staff | Low | In Remediation | 1 Nov 2026 · in 15d | Rachel Ho |
2 of 2 findings & issues · click or press Enter on a row to view or edit