English website pages are available. Books, papers and formal documents remain Chinese sources.
S06 / COMPLIANCE & PROFESSIONAL COORDINATION
Compliance and coordination with professional agencies
From business matters to material preparation to professional review. Organize the work scattered among enterprises, lawyers, audit institutions and platforms into a clear collaboration plan.
Material list · Review record · Professional opinion coordination
Every professional judgment,
Each has clear materials and responsibilities.
Coordination work connects data and professional judgment; special conclusions are made by corresponding agencies.
Legal and financial due diligence/Identity and access/Jurisdictional assessment/Professional opinions and audit docking
01 / START WITH THE MATTER
Based on your current level of preparation, confirm which materials, judgments, and institutions need to be connected.
To prepare for financing, acquisition or capital arrangement, it is necessary to confirm the scope of review, data sources and division of labor among professional institutions.
Discuss due diligence preparationIf you plan to conduct cross-border business or access the platform, you would like to sort out the business attributes, involved jurisdictions and access requirements first.
Discuss markets and mattersLegal, financial and platform work are promoted separately, and issues, material versions, supplements and key nodes need to be unified.
Discuss professional collaboration02 / FOUR WORKSTREAMS
The four groups of work can be entrusted specifically or can be promoted collaboratively around the same project.
Based on the transaction or business purpose, confirm the scope of due diligence with professional institutions, organize enterprise, asset, financial and contract information, and follow up on response to questions and supplementary materials.
Due diligence information and missing items list
Questions, Responses & Review Records
Professional work and node coordination table
What deals are you planning to move forward with? What information and professional organizations are already available?
Special legal, financial judgments and due diligence opinions are made by corresponding professional institutions, and coordination records reflect work progress.
Discuss this workFocus on institutional accounts, platform access or transaction review, sort out the subject, identity, control relationship and authorization materials required by the receiving institution, and collaboratively confirm appropriateness and supplementary matters.
Identity and access material directory
Compare institutional requirements and missing items
Submission, supplement and response records
Which institution or platform do you want to connect to? What material requirements did the other party make?
Identity verification, customer acceptance and access decisions shall be handled by the institution responsible for this responsibility in accordance with the rules. Initial communication only requires a business overview.
Discuss this workSort out the enterprise, assets, proposed business, target customers and related markets, form issues that require confirmation by professional institutions, and coordinate discussions on scope of application, implementation conditions and follow-up paths.
List of jurisdictions and business matters involved
Professional Assessment Questions and Conclusions Index
List of prerequisites and follow-up actions
Where is the business conducted? For whom? What assets or equity arrangements are involved?
Relevant professional institutions determine applicable rules and legal conclusions from the actual facts. A finding for one jurisdiction cannot establish worldwide availability.
Discuss this workAssist in selecting and connecting with lawyers, financial audits or technical security audit institutions as needed, confirm the scope of entrustment, materials, delivery and time arrangements, and follow up on clarification of issues and connection of professional opinions.
Organizational division of labor and special work list
Comments, Reports and Version Index
Question Responses & Milestone Follow-up Records
Which professional opinion or audit is needed? Is an institution already engaged, with a defined scope?
Legal opinions, financial audit reports and technical safety audit reports shall be issued by corresponding professional institutions respectively, and the scope and fees of each special project shall be agreed separately.
Discuss this workData organization and professional judgment are connected according to actual matters. Specific materials, institutional selection and special project scope will be confirmed together when the cooperation is launched.
03 / A TRACEABLE WORK PLAN
All parties confirm facts, responses and next steps in the same work record so that deliveries can be checked and work can be connected.
Clarify the matters to be carried out, the markets involved, existing information and professional work needs.
Align the catalog, data sources, responsible persons and missing items according to the requirements of the receiving institution.
Organize professional communication and record the connection between questions, responses and opinions.
Follow up on supplements, conditions and report versions, and clarify matters to be confirmed and next steps.
WHAT THE COORDINATION RECORD LOOKS LIKE
Structure diagram, subject and authorization information
Provided by the enterprise, verified by the receiving institution
Confirm material requirements and missing items
Transaction purpose, structure and contract draft
Company description, lawyer evaluation
Organize legal issues and responses
Reports, accounts and related instructions
Provided by the enterprise and reviewed by financial professional institutions
Confirm supplements and reporting arrangements
The above is intended to illustrate coordination methods and does not represent actual client projects, completed reviews, or professional conclusions.
04 / CLEAR RESPONSIBILITIES
Confirm the service subject, professional authorization and scope of work at the beginning of cooperation.
Explain the business and transaction purpose, provide true and complete information, designate the responsible person, confirm the scope of material sharing and make corporate decisions.
Main information · Business description · Authorization and decision-makingSort out the catalog of matters and materials, assist in institutional connection, summarize issues, responses and professional opinions, and follow up on supplementary documents and work nodes.
Materials List · Review Records · Coordination PlanLawyers, auditors and other qualified institutions shall undertake corresponding professional review and reporting work; financial institutions or platforms shall complete verification and access judgment according to their responsibilities.
Special opinions · Audit report · Verification and admission decisionAGREE ON THE SCOPE FIRST
It can coordinate around a single matter or connect multiple existing professional institutions. First determine the actual needs and then agree on cooperation.
You can first explain the proposed matters, existing entities and the market you wish to enter. The preliminary work is to sort out the scope and issues to be identified, and then discuss the required review with professional organizations. Matters that are not yet determined may be kept pending confirmation.
The service team is responsible for material organization, institutional docking, problem summary and node coordination. Legal opinions and audit reports are independently issued by corresponding professional institutions based on entrustment and applicable requirements. The service entity, special scope and fees are confirmed during cooperation.
A basic catalog can be compiled first, but the actual list will depend on the type of client, proposed business, jurisdiction involved, and the requirements of the receiving institution. The organization may need to further verify the control relationship, authorization or other information, and the specific verification and acceptance decision is the responsibility of the organization.
Background reference: FATF international standards, specific implementation must be combined with local requirementsFinancial audits and technical-security audits differ in their subjects, methods and reporting purposes. Financial audits examine agreed financial information; security audits examine systems, contracts or a defined technical scope. Determine the need, provider and acceptance conditions separately for each project.
On the basis of retaining existing professional institutions, the need for additional data organization and cross-agency coordination can be discussed. If these tasks are completed by the company's internal team, the scope will be narrowed based on actual needs to avoid repeated delegation.
First confirm the scope, data base, professional institutions and delivery nodes, and then agree on coordination services and third-party special fees respectively. The cycle depends on the completeness of the information, review feedback and institutional arrangements; the coordination service does not promise specific legal conclusions, review approval, access or approval results.
LET’S ORGANIZE THE PROFESSIONAL WORK
Tell us about the proposed business, the markets involved, and which material or professional review link you are currently stuck in.
Cooperation email: info@weitengfei.com
You can attach the downloaded demand form, or copy the content into the body of the email, check and send it yourself. The request will not be sent automatically when it is generated.
READY FOR A DISCUSSION
Download after verification as a draft for subsequent communication.
The message has not been sent yet.
Cooperation email: info@weitengfei.com
You can attach the downloaded demand form, or copy the content into the body of the email, check and send it yourself. The request will not be sent automatically when it is generated.
Continue reading · Services
Compliance and professional agencies coordinate the organization of agenda lists, material preparation, and collaboration between legal, auditing and other professional agencies. Relevant professional opinions and platform access shall be confirmed by the corresponding responsible entities.
Reading & Selection Guidance First clarify the business, areas involved, existing materials and institutions that need to be connected.