Accounting Development Foundation webinar: Keys for preparation of regulator inspection for financial institutions (28 Jan 2021)
Invited by the Accounting Development Foundation, Ernest Yiu, our Partner from Financial services at Mazars Consulting (HK) Limited was delighted to present the topic of Keys for preparation of regulator inspection for financial institutions during the webinar on 28 Jan 2021.
Different types of inspections conducted by the financial services regulators (i.e. HKMA, SFC, IA) were discussed during the session complemented with real-life cases. This incredibly informative session covered topics such as the regulator’s determination factors, their risk focus areas and the procedures to be performed by the regulators during an inspection. Ernest also provided insightful tips on how to prepare for upcoming regulator inspections strategically.
