.jpg){kind=small}
All In One Resource Hub
Introducing our All-In-One Resource Hub, designed specifically for the financial sector to streamline your compliance needs. This comprehensive platform includes a range of resources, such as Continuing Professional Training (CPT) courses, a variety of policies and procedures, internal forms, and agreement templates.​​​
Compliance Training Offerings (CPT)
"An investment in knowledge pays the best interest." – Benjamin Franklin
Our platform offers a selection of online learning compliance training across various licensed activities, ensuring that you meet your CPT requirements. We recognize that many current CPT courses in the market are expensive; therefore, we are committed to providing high-quality training at very competitive prices.​
List of Courses
- AML and CTF Training - Cyber Security Awareness - Client Onboarding Policy & Procedure
​We provide a diverse array of standard templates for policies and procedures, ideal for new license applications or launching new business lines. These templates are user-friendly—simply input your company's name, and you're ready to go! ​
List of Policies & Procedures
AML Policy for Cayman Funds Annual Review on Distributor Procedure Business Continuity Plan Chinese Wall Policy Clean Desk Policy Compliance Manual Credit Risk Policy Cross Border Business Activity Policy Cross Border Business Activity Procedure Data Privacy Policy ECM Manual Electronic Trading & Algo Policy Employee Handbook Enterprise Risk Management Policy ESG Policy & Procedure Governance Policy Incentive Programme - Share Options Information Security Policy Internal Controls and Procedures IT Policy IT Security Policy Liquidity Risk Management Policy Liquidity Risk Management Policy Margin Policy MIC Governance Manual Operation Procedure Personal Dealing Policy Product Due Diligence Guide Risk Management Policy Securities Settlement Operation Procedure Staff Procedure Valuation Policy Vendor Selection & Management Policy Whistleblower Policy
Policies & Procedures
Your roadmap to effective compliance and governance.
Legal Agreements
Empowering your business with strong legal foundations.
Our platform also features a large database of templates for legal agreements. Many of these are not easily found in the market, making our platform a valuable resource. With our templates at your fingertips, you can easily tailor them to fit your business needs.
List of Agreements
AML Service Agreement (for funds) Client Referral Agreement Consultancy Service Agreement Custodian Agreement (digital asset) Discretionary Management Agreement (IM & Client) Employment Contract Employment Contract (for senior staff) External Asset Management (EAM) Agreement Freelance Consultancy Agreement Fund Adminstration Agreement Fund Distribution Agreement (distribution in China) Investment Advisory Agreement (IM & Client) Investment Advisory Agreement (Fund & IM) Investment Management Agreement (Fund & IM) Letter of intent Listing Preperation Serivces Agreement Loan Facility Agreement Memorandum of Understanding (MOU) Mutual Confidentiality Agreement Non-disclosure Agreement (NDA) Outsource Secondment Agreement Placing Agreement (facing issuer) Prime Brokerage Agreement Product Distribution Agreement (as distributor) Product Distribution Agreement (as issuer) Product Purchase Agreement Sale and Purchase Agreement (SPA) Sub-distribution Agreement Tenancy Agreement
Our business forms are versatile documents that can be utilized both internally and when engaging with clients. They complement the policies and procedures, ensuring that your operations are well-organized and compliant. These forms can also serve as proof of compliance with regulatory rules, thereby fulfilling important record-keeping purposes that the SFC emphasizes.
List of Business Forms
Account Closure AML Attestation Letter AML Audit Questionniare on Fund Administrator AML Client Risk Assessment Report AML CTF Quiz for Staff Initial Onboarding AML Risk Assessment (for funds) Annual Professional Investor Notice Broker Review Form Client Information Collection Form (Entity) Client Information Collection Form (Individual) Climate Risk Disclosure Close Account Notification Cybersecurity Review Questionniare (for Service Provider) DDQ - Electronic Trading DDQ for Distributor DDQ for Fund Investment Advisor DDQ for Fund of Fund Investment Manager DDQ for Fund of Fund Product DDQ for Private Securities Fund DDQ for Structured Product Issuer DDQ for Vendor (Custodian, Crypto Exchange, Traditional Broker, Fund Adminstrator) Due Diligence on Broker External Engagement Declaration Gift & Entertainment To Third-Party Template Internal Account Opening Declaration Letter of Intent (for Fund Subsciption) Limited Power of Attorney MIC Acknowledgement Periodic KYC Relationship Review Personal Data and Privacy Notice Personal Dealing Initial Holdings Report Personal Dealing Outside Account Request Form Personal Dealing Private Placement Request Form Personal Dealing Trade Request Form Professional Investor Classification and Consent Professional Investor Notice Risk Disclosure Statement Associated with Virtual Assets Products Risk Profiling Questionnaire Signature Card (Entity) Suitability Assessment Suspicious Transaction Internal Report Suspicious Transaction JFIU Report Third Party Payment Form Trade Incident Report Wall Crossing Master List
Business Forms
Where Compliance Meets Efficiency
