Financial services risk and regulation

How we can help

Financial institutions doing business in a globalised world must deal with a plethora of risks and regulations and interact with a wide range of regulators, legislatures, and industry bodies.  Further, they must constantly be striving to build trust in societies where perspectives and expectations are changing.  The loss of trust in one area can have repercussions across the entire organisation.

Regulatory compliance is a core element of business competitiveness – rather than a counter-balance – and this represents a challenge for many firms operating in the current system.  Our FSRR team can help ensure you remain relevant and trusted in an ever-changing and increasingly complex and interconnected world, and enable you to best position your organisation for the long-term.

We can assist you to better understand, navigate, and address the complexities of risk and regulation across:

  • Conduct and governance
  • Risk and prudential
  • Licensing and restructuring

Browse the areas below to find out more about how we can help you address key issues pertaining to it.

Our services

Conduct and governance

Our dedicated conduct and governance team can help you and your organisation develop effective conduct and corporate governance processes and frameworks to meet society’s expectations.

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Risk and prudential

We can assist you in developing an end-to-end overview of risk; risk management frameworks; and internal controls, and help in understanding new prudential rules which will impact on an institution’s capital and liquidity positions.

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Licensing and restructuring

We can help you navigate the complexities of applying for licenses to undertake financial activities with the main financial regulators in Hong Kong – the HKMA, SFC, and HKEx.

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Explore further

Environmental, Social and Governance (ESG)

There is an increased momentum in integrating ESG factors in the financial services industry in Hong Kong. To align with the global developments as well as to address the growing investor demand, financial regulators in Hong Kong are taking significant steps focused on integrating ESG factors in the financial services ecosystem. Regulators recognise that this transformation is a journey and there is no existing prescribed standard with which institutions are expected to comply. However, the magnitude of change required, both operationally and culturally, means that organisations need to start taking action now.

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Contact us

Emily Lam

Partner, PwC Hong Kong

Tel: +[852] 2289 1247

Duncan Fitzgerald

Partner, PwC Hong Kong

Tel: +[852] 2289 1190

Rick Heathcote

Partner, PwC Hong Kong

Tel: +[852] 2289 1155

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