Settlement/Clearing Service 交收結算服務
- Perform daily settlement operation, includes but not limited to HK, US, Foreign Exchange (FX), and other Overseas equities, futures and options and Virtual assets. 進行日常結算操作，包括但不限於港股、美股、外匯(FX)及其怹海外股票、期貨選擇權及虛擬資產。
- Ensure all post trade processing, reconciliations are properly and correctly completed 確保所有交易後處理、對帳均正確無誤地完成
- Handle pre-matching of settlement instructions, daily booking and settlement process 處理結算指令預先匹配、日常預約及結算流程
- Liaise with internal & external counter parties to resolve trade and settlement issues 與內部和外部交易對手聯絡，解決貿易和結算問題
- Collect corporate actions announcement through CCASS, HKEX, share registrars and sub-custodians 透過中央結算系統、香港交易所、股份過戶登記處及分託管人收集公司行動公告
- Check and process all entitlements 檢查並處理所有權利
- Process subscriptions for IPO, allotment and refund 處理IPO認購、配發和退款
- Prepare daily reports and administrative support to Supervisor as required 根據需要向主管準備每日報告和行政支持
- Daily and monthly statement dispatches 每日和每月報表發送
- Process all CCASS/DCCASS operations 處理所有CCASS/DCCASS操作
Compliance Service 合規服務
- Phone and email consultations available 提供電話和電子郵件諮詢
- Provide assistance with license applications 為牌照申請提供協助
- Providing business plans required by the Securities and Futures Commission 提供證監會所需之製定業務計劃
- Provide assistance in liaison with outside legal counsel and/or other professional groups 與外部法律顧問和/或其他專業團體在聯絡中提供協助
- Assist with company secretarial functions i.e. raising share capital, appointment of directors, annual reports, board resolutions 協助公司秘書職能，即籌集股本，任命董事，年報，董事會決議
- Provide monthly regulatory updates and event reminders 提供每月的法規更新和事件提醒
- Provide all necessary forms and procedure manuals 提供所有必要的表格和程序手冊
- Develop and review compliance policies and procedures 制定和審查合規政策和程序
- Provide compliance/anti-money laundering training 提供合規/ 反洗錢培訓
- Handle correspondence and inquiries from regulators 處理監管機構的信件和查詢
- Respond to customer complaints 回复客戶投訴
- Interim compliance advice and assistance 臨時合規建議和協助
- Assist in customizing and modifying various protocols 協助定制和修改各種協議
- Assist in customizing internal monitoring solutions 協助定制内部監控方案
- Assistance in applying for a money lender’s license 協助申請放債人牌照