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This includes assessing how a firm interacts with clients, manages conflicts of interest, and ensures fair treatment. Financial crime, conduct of business, and client assets are frequent areas prompting such reviews. Every audit is different; the needs and concerns of the business dictate the breadth and scrutiny needed.
The guidance continues the momentum of digital asset regulation in Hong Kong, following a raft of other rules and consultations recently published by Hong Kong regulators. virtual asset funds, derivative products, and spot) by intermediaries (including banks and licensed corporations) to their clients.
Features: Flexible intake and approval workflows, Seamless integration with other business systems and with general ledgers, Creation of rules that reflect the company’s specific policies Record keeping of every dollar spent Easy retrieval of documentation for auditing or booking purposes. Fraud detection and duplicate payment alerts.
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