Consultant view
Client Portfolio
3 client firms · 1 at risk · 6 critical items across the book
Meridian Peak
SFC Licensed Corporation · CE BNM392
On Track
88
Reg Radar
Obligation Calendar
Policies
AML/KYC
Licensing
Training
Monitoring
Incidents
Risk Assessment
Governance
Attention: Overdue: Business & Risk Management Questionnaire (BRMQ)
4 open items
Harbourstone FO
SFC Licensed Corporation (Multi-Family Office) · CE BXH771
Exemplary
97
Reg Radar
Obligation Calendar
Policies
AML/KYC
Licensing
Training
Monitoring
Incidents
Risk Assessment
Governance
No open attention items.
0 open items
Wan Chai Securities
SFC Licensed Corporation · CE AAX105
At Risk
49
Reg Radar
Obligation Calendar
Policies
AML/KYC
Licensing
Training
Monitoring
Incidents
Risk Assessment
Governance
Critical: Regulatory action overdue: Circular to brokers on client asset protection and rehypothecation controls
19 open items