Corporate Service
A holistic approach to governance, risk and compliance.
Our Methodology
Risk is a catalyst for business growth. The most successful organisations balance risk, operational demands and strategic objectives. We help organisations identify their risk tolerance and manage enterprise-wide exposure across governance, risk management, compliance and performance improvement.
Governance
- Governance programme development
- Enterprise risk management
- Board development
- Governance training
Risk
- Enterprise, entity-level and process-level risk assessment
- Internal audit / internal control review
Compliance
- Compliance programme development, review and monitoring
- Sarbanes-Oxley services
Performance
- Business process analysis and improvement (BPA/BPI)
- Performance audit
- Quality assurance review
Enterprise Risk Management
We approach ERM top-down, maturing the function over time and examining critical systems, technology, architecture and processes at both entity and process levels to build an enterprise-wide view of risk. Our enterprise risk assessment delivers a risk universe, risk maps and a risk assessment report — the foundation for a broader ERM framework.
Internal Audit / Internal Control Review
We provide outsourced internal audit and internal control review for listed companies and public organisations — including IPO PN21/PN2 reviews, resumption-of-trading investigations and special reviews requested by the HKEx or the SFC — assessing the design and operating effectiveness of controls over reporting, operations and compliance.
ESG Support
We help issuers meet the Environmental, Social and Governance Reporting Code (Listing Rules Appendix C2, effective 1 January 2025) and ISSB/TCFD-aligned climate disclosures — from climate targets and KPI selection through to comply-or-explain application and emissions disclosure.
Compliance Support
We build risk-based compliance programmes and conduct regulatory compliance audits against the Hong Kong Listing Rules, the Securities and Futures Ordinance, SFC guidance and the Sarbanes-Oxley Act — with an inventory of obligations, a prioritised audit plan, regular status reporting and a remediation strategy.
Improving Performance — BPA/BPI
Our business process analysis and improvement services assess process maturity and develop tools for ongoing improvement — documenting current-state processes, mapping and flowcharting, evaluating segregation of duties and internal controls, and recommending short-, medium- and long-term improvements that align processes with information technology.
Director Training
We deliver bespoke training for listed issuers covering Listing Rule (3.09F/G; GEM 5.09F) and Corporate Governance Code (C.1.1) obligations: directors' roles, duties and liabilities; statutory and fiduciary duties; corporate governance and ESG; risk management and internal control; and industry-specific developments.
Deliverables
- Governance and control frameworks, policies and procedures
- Enterprise, entity- and process-level risk assessments (risk universe, maps, report)
- Internal audit plans and internal control review reports
- ESG reporting and disclosure support
- Compliance programme design and regulatory compliance audit
- Business process analysis and improvement recommendations
- Director and governance training
Our Experts
Wayne Hu
Principal & General Manager, Shenzhen Office
Wayne Hu is a Principal at Ascent Partners. A CFA charterholder with extensive finance experience and a master's degree from the University of Sydney, he specialises in business valuation — particularly intangible assets, financial instruments and business equity for public transactions. He supports clients on transaction and financial-reporting valuations across listings, mergers and acquisitions and pre-IPO exercises, bringing a rigorous, audit-ready approach to complex instruments and intangible assets. He works closely with auditors and management on valuation assumptions, methodologies and disclosure, helping clients meet the expectations of regulators and investors across a range of sectors.
Case Studies
Enterprise risk management — property developer
An ongoing ERM programme for a leading Chinese-mainland property developer, including an entity-level risk assessment and a three-year internal audit plan aligned to Code Provision D.2.2 of the Corporate Governance Code.
Risk assessment and ERM function — listed company
A comprehensive enterprise risk assessment for a listed issuer, introducing a formal methodology, a risk-appetite framework and templates to establish an internal ERM function.