Regulatory inspection support

Are you prepared for an inspection from SFC or MAS? Whether you need support during a live inspection or want to make sure your business is ready for a future visit, we can help.

The SFC and MAS conduct routine on-site inspections on all licensed corporations / financial institutions  to understand their business operations and their degree of compliance with relevant laws and regulatory requirements.

• Do you anticipate that you may get notice of an inspection in the near future?
• Have you ‘kicked the tyres’ of your compliance and risk controls to ensure you can meet the regulators expectations?
• Are your people prepared for an inspection alongside business-as-usual activity?

With our in-depth understanding of the regulatory landscape in Hong Kong and Singapore, and deep technical expertise, we can support you to deliver on the expectations of the regulator. We can provide support and assistance both before and during a regulatory inspection across a number of key areas.

Preparing for an SFC or MAS inspection

We can conduct mock inspections which mirror the entire routine inspection process, thoroughly assessing your compliance and helping you prepare. These include:

• Documentation reviews – determining whether documentation complies with applicable regulatory requirements.
• Mock interviews – conducted with key personnel, providing structured feedback on their performance.

Assistance during the inspection

We understand how the inspection process works and what the regulator is looking for. We can support you at any point during an inspection, including understanding difficult questions and requests, and reviewing responses and documentation to make sure it meets regulatory requirements

Whether you need a full scope mock inspection, would like to focus on a few key risk areas, or conduct mock interview sessions, contact our team below.