INTERNAL CONTROL REVIEW

Sound corporate governance is imperative for the continual success of every company. With extensive experience in corporate governance review, we are able to provide valuable recommendations, based on corporate governance best practices, to help companies succeed and safeguard the interests of the stakeholders.

Internal Control Review for listed and non-listed companies

Internal Control is an inseparable part of risk management and a cornerstone for business success. We can assist management to identify operation loopholes and to provide value-added recommendations to minimize the risk and control weaknesses.

Pre-Initial Public Offering (“Pre-IPO”) Internal Control Review

The application of listing on Stock Exchange of Hong Kong (SEHK) with respect to Listing of Securities in Practice Note 21 (PN21) requires the Sponsor to conduct due diligence of the Listing Applicant to enable the Sponsor to declare to the SEHK that the Listing Applicant has established procedures, systems and controls (including accounting and management systems) which are adequate in regard to the obligations of the Listing Applicant and its directors to comply with the Listing Rules and other relevant legal and regulatory requirements (in particular rules 13.09, 13.10, 13.46, 13.48 and 13.49, Chapters 14 and 14A and Appendix 16), and that the Sponsor has ensured that those procedures, systems and controls are sufficient to enable the Listing Applicant’s directors to make a proper assessment of the financial position and prospects of the Listing Applicant and its subsidiaries, both before and after listing. This requirement includes an assessment of the new applicant’s compliance manuals, policies and procedures including corporate governance policies and any letters given by the reporting accountants to the Listing Applicant that comment on the Listing Applicant’s accounting and management systems or other internal controls.

 

Risk Management

Risk is inevitable in all business operations. Our risk management service focuses on the control environment, risk assessment, control activities and monitoring. We can assist management to identify business and internal risks, against which we will also advise on designing risk management mechanisms and internal control procedures as well as staff and management training.

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