Be prepared for Hong Kong’s new Business Risk Management Questionnaire*

Over the past eighteen months the SFC has displayed a renewed interest in Internal Controls at fund managers through their FMCC updates, the latest BRMQ, and 2017’s Manager-in-Charge implementation. These are very likely to be topics of interest in the next round of SFC examinations, get ahead and be prepared with the help of Optionality Consulting.

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Our Services

SFC Applications

We manage every aspect of the application process from choosing the right license to organizing documentation, advising on who, how many, and what type of personnel are required, navigating the SFC Portal and advising on any questions from the SFC..

US Registration

The US still offers one of the biggest and deepest pools of institutional capital in the world, but being able to capture those assets requires registration in the US. Whether as an Exempt Reporting Advisor or a Registered Investment Advisor we can help get your firm ready from a regulatory and an operational requirement perspective.

Ongoing Regulatory Support

Following regulatory approval we can provide ongoing advice on matters ranging from the day-to-day processes that should be implemented, organizing your compliance calendar, as well as higher-level questions regarding incident-specific matters. We are experts in nearly every major financial jurisdiction.

Internal Audit

Given that many alternative asset managers lack internal resources to segregate appropriate staff for this purpose, Optionality offers a variety of services to assist managers with meeting the internal audit requirements. Optionality is well positioned to:

Assist managers with executing their own internal audits
Act as an independent internal auditor for the purpose of meeting these regulatory requirements

Rather than merely offering a “tick the box” service, Optionality strives to provide value-add reports that create detailed expectations managers can meet going forward to improve their internal processes and meet regulatory requirements.