The regulator may from time to time conduct on-site audits of licensed companies to ensure that they meet all regulatory requirements.The best way to prepare for a regulatory visit is to conduct a mock regulatory review.Our team will prepare a detailed list of documents and, based on these documents, conduct interviews with relevant employees to understand the compliance and operational aspects of the company and ensure compliance with relevant rules and regulations.
Tianzhi compliance through the annual simulation review every year, for customers to make full preparations for the review of regulatory agencies.
During the mock review period, we will cover a range of key compliance elements, such as:
Review trading practices, including execution of trading instructions under best conditions, broker review procedures, non-monetary interests and related disclosures
Conduct risk assessment on the overall operation of the company
Conduct audits of employees' individual and proprietary trading
Conduct advertising and sales document review
Review privacy policy content, data protection measures, information security policies, business continuity plans and website content to ensure compliance with the above
Update the code of ethics and procedures of employees, such as error reporting and escalation measures, potential conflicts of interest, personal transaction policies and gift and benefit giving policies to meet the latest regulatory requirements
Review anti-money laundering policies and procedures