compliance_check
Perform a compliance health check for a licensed corporation. Input company profile, get a compliance risk assessment covering FRR capital, RO configuration, MIC roles, annual obligations, and regulatory focus areas.
Input Schema
| Name | Required | Description | Default |
|---|---|---|---|
| aum | No | Assets under management, e.g. '500M HKD' | |
| num_ros | No | Number of Responsible Officers | |
| has_vatp | No | Whether the firm deals with virtual assets | |
| num_staff | No | Total number of staff | |
| license_types | Yes | License types held, e.g. ['Type 1', 'Type 9'] | |
| business_areas | No | Business areas, e.g. ['securities dealing', 'asset management'] |