Bee Chiu Email & Phone Number

 Preparing corporate and individual licensing application form, supporting documents via the Wings(SFC platform) to Securities and Futures Commission; Following up individual application, such as requesting outstanding information of employment history; Handling SFC enquiries and preparing answer; Following up SFC request after submitted application; Following up corporate application, such as requesting Memorandum and articles of association, financial status, information in company’s recording keeping and register office, preparing corporate and management structures; Checking and searching applicant’s education and professional qualifications; Preparing notification to Securities and Futures Commission (SFC) about the change(s) of existing clients (financial institutions/individual), including the change/resignation of emergency contact person, director, share capital, auditor and company secretary; Preparing KYC research document and report; Maintaining breach logs and supporting records, such as Continuous Professional Training record and Personal Account Dealings record; Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies; Set up the Type 4 Application. Review & draft for agreements, contracts and disclosure documents Set up the Margin Financing