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.
Policy library, review cycles and attestations
| Policy | Ver. | Status | Next Review | Attested | Owner |
|---|---|---|---|---|---|
| Personal Account Dealing Policy | 2.0 | Review Overdue | 23 Aug 2026 · 55d overdue | 66 | Rachel Ho |
| Electronic Communications & Systems Policy | 1.3 | Under Review | 1 Nov 2026 · in 15d | 74 | Dennis Ng |
| Liquidity Risk Management Policy (Fund) | 1.1 | Current | 31 Mar 2027 · in 165d | 22 | Dennis Ng |
| Compliance Manual | 4.2 | Current | 30 May 2027 · in 225d | 80 | Rachel Ho |
| AML/CFT Policy & CDD Procedures | 3.1 | Current | 14 Jul 2027 · in 270d | 77 | Rachel Ho |
| Best Execution Policy | 2.4 | Current | 18 Aug 2027 · in 305d | 34 | Rachel Ho |
6 of 6 policies & manuals · click or press Enter on a row to view or edit