ComplianceOS
AI Tailored for HK Compliance

The regulatory engine purpose-built for Hong Kong.

Run FRR monthly checks, track SFC circulars the day they drop, and answer compliance questions with citations — all on one grounded workbench built for Type 1 / 2 / 4 / 6 / 7 / 9 / AMLO / VATP licensed firms.

Built by practitioners · Trusted by HK compliance leads
Type 1 Dealers Type 4 / 9 Asset Mgmt VATP Operators AMLO FIs Family Offices
The Platform

One grounded workbench for every piece of HK regulatory work.

Three pillars, one source of truth. Every answer, every rule result, every audit entry cites its legal basis — by Cap number, section, or circular reference.

01

Move faster on returns

FRR monthly submission rerun in seconds, not days. 32 rules from Cap.571N execute deterministically; findings ship with law-source citations your auditor can verify.

02

Never miss a circular

SFC / HKMA circulars, FAQs, consultation papers monitored continuously. Version-aware diffs tell you what changed and which internal policies to update.

03

Answer with authority

Ask in plain language, receive a citation-backed reply. Retrieval-grounded L1 + claim-level L2 gate keep hallucination at zero — every sentence traces back to a registered source.

Modules

Engineered for the workflows compliance actually runs.

Vertical · FRR

FRR Engine

Cap.571N §3 – §55 fully implemented. xlsm or JSON input, 32-rule report, 120% / 50% alerts, LC identity, haircut validation.

32 rules · 50 golden cases · tamper-evident audit
Vertical · AMLO

AMLO Module

CDD / EDD / STR / Travel Rule / PEP / ongoing monitoring — 18 rules spanning Cap.615 Schedule 2 and FATF guidance.

18 rules · CDD ⇢ record keeping full coverage
Vertical · Conduct

Conduct Module

Client agreements, suitability, conflicts, soft-dollar, licensing RO/LicRep — 14 rules from the SFC Code of Conduct.

14 rules · Conduct + Fund Manager Code
Horizontal · Assistant

Compliance Assistant

Natural-language Q&A grounded on your tenant's regulatory corpus. Answers carry Cap numbers + circular refs, never prose alone.

L1 retrieval + L2 claim-level grounding gate
Horizontal · Audit

Tamper-Evident Audit

SHA-256 hash chain + optional RFC3161 freeTSA anchoring. Verifiable export to regulator, auditor, or board in one click.

per-tenant chain · RFC3161 timestamping
Horizontal · API

API & Webhooks

REST v1 for FRR / AMLO / Conduct checks. HMAC-signed webhooks push rule_error, chat_ungrounded, audit_chain_broken to your systems.

Bearer auth · OpenAPI · HMAC-SHA256
64
Compliance rules live
FRR · AMLO · Conduct
0
Hallucination rate
on 92 golden cases
100%
Safe answer rate
grounded + cited
<25s
Full test suite
462 / 463 green
Who it's for

Designed for the people who actually run compliance.

15 years in HK licensed firms — tools shaped by CFO, RO, MIC daily reality.

CFO / Finance

Finance Lead

  • Monthly FRR adequacy verification
  • RLC floor auto-computed
  • Client money segregation reconcile
  • SFC return xlsx one-click generate
RO / Compliance

Responsible Officer / Compliance

  • Second line of defense daily monitoring
  • AMLO monthly summary auto-aggregated
  • Conduct rules self-check list
  • STR / sanctions screening trail
MIC / Senior

Manager-in-Charge

  • Workflow approval chain traceable
  • Responsibility map + sign-off log
  • Cross-function compliance dashboard
  • SFC inspection-ready
Security & Data Isolation

Your policies, your corpus, your audit chain — never co-mingled.

Per-tenant PostgreSQL schemas. Per-tenant session secrets. Per-tenant audit hash chains. No tenant data ever enters shared model training.

Isolation

Multi-tenant by design

Separate schemas + row-level filtering at the connection layer. HMAC per-tenant session cookies. RBAC with admin / compliance / viewer roles.

Deployment

Cloud or on-prem

Standard: Dockerised, Caddy + Let's Encrypt. Enterprise: on-prem in your own VPC, data never leaves.

Compliance

Made for audit

Every chat answer, every rule result, every policy change is hash-linked. Optional RFC3161 third-party timestamps for court-grade chain-of-custody.

Pricing

Pilot pricing · locked for the first ten firms.

Q2 2026 Pilot customers hold these prices for 12 months. General availability pricing steps up 20–30%.

Starter

HKD 3,800 / mo
Single licence · < 20 staff
  • One licence class (Type 1, 4 or 9)
  • FRR monthly check · 32 rules
  • Circular updates & alerts
  • Email support
Apply for Pilot

Enterprise

Custom
Investment banks · large AMs · cross-border
  • On-prem deployment in your VPC
  • Custom rules & client policy packs
  • Dedicated CSM + SLA
  • Data never leaves your perimeter
Contact Sales

Claim a Pilot seat.

Ten firms. Twelve months of locked pricing. Direct line to the team who built the engine. Leave your work email — we'll book a 30-minute walkthrough within the week.

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