Tailor-made Documents
Professional Financial Advisory Services
For financial institutions, the number and complexity of mandatory compliance documents are often overwhelming. Policies, procedures, manuals, and regulatory filings must not only comply with increasingly strict and constantly updated regulations but also precisely match your unique business model and risk appetite. Generic template documents are often insufficient, leading to gaps in internal control frameworks.
Our tailored compliance document service is designed specifically to solve this complex problem. We draft, review, and customize a full set of compliance documents for you—from AML/CFT policies and internal control manuals to board reports and regulatory submissions. Our experts ensure every document is solid, reliable, up-to-date with regulatory requirements, and fully reflects your business operations, turning regulatory compliance obligations into an organized advantage.
Our Target Clients
We provide professional compliance support services specifically for the following licensed corporations and financial institutions:
Business types include:
Securities Dealers
Futures Dealers
Foreign Exchange Dealers
Corporate Finance Institutions
Asset Management Companies
Family Offices / External Asset Managers
Virtual Asset Service Providers
Institutions similar to Money Service Operators
Institutions similar to Money Lenders
Insurance Companies and Insurance Agents/Brokers
Trust Companies
Trust or Company Service Providers (TCSP)
Dealers in Precious Metals and Stones (DPMS)
Other Financial Institutions
Other Designated Non-Financial Businesses and Professions (DNFBPs)
Applicable Scenarios
New Licensing
Annual Updates
Major Regulatory Updates
New Business Development
SFC Onsite Inspection
Bank Account Opening
Establishing Partnerships
Customization Scope
Altum Capital Compliance also customizes various codes, agreements, or documents for clients based on their business needs:
Client Agreements
Terms and Conditions
Compliance Manuals
Operational Manuals
Operations and Risk Control Plan (for HKEx participants)
Staff Dealing Policy
Order Allocation Policy
Risk Management Policy
AML Policy
KYC Internal Control Policies and Procedures
Advisory Business Procedures (for Type 4 RA)
Investment Management Procedures (for Type 9 RA)
Client Account Opening Procedures
Margin / Exposure / Trading Limit Application
Share Charge (Tripartite Custody Agreement)
Independent / External Asset Management Agreement