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IT Compliance Audits

IT compliance for regulated firms,audit-ready all year round.

We help financial services, fintech and other regulated firms in Hong Kong and Singapore strengthen IT governance, cybersecurity and risk management — so they stay audit-ready and keep the trust of clients and investors.

Book a readiness review SFC and MAS guidelines
  • Mapped to SFC and MAS TRM guidelines
  • ISO/IEC 27001:2022 certified ourselves
  • Due diligence and cyber insurance
SFC · MAS
guidelines mapped to your controls
ISO · NIST
frameworks implemented
5 steps
assess, plan, implement, monitor, improve
20+ years
in IT and cybersecurity

Compliance is no longer a tick-box exercise

In regulated industries, technology is no longer just a support function — it is at the core of compliance. Every transaction, client interaction and vendor relationship runs on IT systems that regulators, clients and investors look at closely.

And the guidance keeps changing. Regulators in Hong Kong and Singapore publish guidelines on technology risk, and clients and investors increasingly ask firms to show how they follow them.

We focus on the IT side: building your controls on recognised frameworks — ISO/IEC 27001, NIST CSF, COBIT and CIS — and mapping them to the SFC and MAS guidelines, with the evidence to show it.

  • Ready for scrutiny

    Evidence ready for inspections, audits and due diligence questionnaires.

  • Operational resilience

    Keep the business running through cyberattacks and system failures.

  • Market confidence

    Reassure clients, partners and investors, and speed up onboarding.

  • Global readiness

    Use ISO 27001:2022 and NIST to expand into new markets with confidence.

What the SFC and MAS look for

Both regulators publish guidelines on IT governance, cybersecurity and resilience. Here are the main areas, summarised from their published guidance; we map your controls to them.

SFC

Hong Kong

The Securities and Futures Commission publishes circulars and guidance on IT governance, cybersecurity and operational resilience for licensed corporations.

Focus areas
  • Cybersecurity managementPerimeter defences, patching, intrusion detection and regular penetration testing.
  • Access control and user managementStrong authentication, segregation of duties and monitored privileged accounts.
  • Data security and privacyEncryption in transit and at rest, with clear retention and disposal policies.
  • Business continuity and DRTested plans that keep critical functions running.
  • Outsourcing and vendor oversightDue diligence and continuous monitoring of technology and cloud providers.

MAS TRM

Singapore

The Monetary Authority of Singapore publishes Technology Risk Management Guidelines for financial institutions, alongside its Notices on cyber hygiene and technology risk.

Focus areas
  • IT governance and accountabilityBoards and senior management directly accountable for technology risk.
  • Risk assessment and testingVulnerability assessments, penetration tests and red-team exercises.
  • Secure development and changeA secure development life cycle, with testing and approval before deployment.
  • Third-party riskVendors held to the same standards, with audit rights and exit plans in contracts.
  • Incident response and recoveryTested plans with defined recovery time and recovery point objectives.

Our IT compliance services

End-to-end support for regulated firms in Hong Kong and Singapore, from the first gap analysis to the next inspection — now including how staff and systems use AI.

Compliance achieved, then maintained

A proven five-step journey, so compliance doesn’t lapse in the months between inspections.

  1. Assess

    A deep-dive audit of your IT infrastructure, policies and risks.

  2. Plan

    A tailored roadmap that fits compliance into your business strategy.

  3. Implement

    Policies, controls and technical safeguards put in place.

  4. Monitor

    Ongoing monitoring, logging and compliance dashboards.

  5. Improve

    Regular updates as SFC and MAS guidance, threats and the industry change.

Cyber insurance, without the surprises

Insurers now ask detailed IT and cybersecurity questions before they issue or renew a policy. Without the right answers — and proof behind them — firms face higher premiums, exclusions or a refusal.

By aligning your IT controls with regulatory guidelines and insurers’ expectations, you reduce risk on every front: your operations, your clients and your financial resilience.

What insurers ask about
  • Security frameworks such as ISO 27001 and NIST
  • Incident response and disaster recovery plans
  • Access control, data protection and encryption
  • Vendor and third-party risk
  • Ongoing vulnerability testing and monitoring
  • Penetration test and IT audit reports
How we help
  • Complete and standardise insurer questionnaires
  • Back every answer with real policies and controls
  • Put missing safeguards in place
  • Provide the evidence underwriters need

Questions about IT compliance

Can’t find what you are looking for? Ask a consultant and we’ll come back to you.

Why does IT compliance matter for firms in Hong Kong and Singapore?

Regulators such as the SFC and MAS publish guidelines on how firms should manage technology, data and cybersecurity risk, and clients and investors increasingly ask for evidence. Good IT controls help you meet those expectations, protect sensitive information and keep client trust.

What does the SFC’s guidance cover?

Its circulars and guidance for licensed corporations cover IT governance, cybersecurity, vendor oversight and business continuity. Our reviews use them as a checklist alongside ISO/IEC 27001 and NIST CSF. For the documents themselves, see our SFC guide.

What do the MAS TRM Guidelines cover?

IT governance, risk assessment, secure development, vendor management and incident response, with regular testing and documented recovery. MAS also issues Notices, such as its Notice on Cyber Hygiene, for the institutions they name. See our MAS guide.

Do you give legal or regulatory advice?

No. We are an IT and cybersecurity provider: we assess and improve your IT controls against recognised frameworks and the published SFC and MAS guidelines, and prepare the evidence. How the rules apply to your firm is for your compliance team and legal advisers.

How do ISO 27001:2022 and NIST help?

Both are globally recognised structures for information security and risk management. They map well to the areas the SFC and MAS guidelines cover, make audits smoother, and help meet international client requirements.

Do you help with AI governance?

Yes. We help firms govern how staff and systems use AI: clear rules for Copilot, ChatGPT and other AI tools, a register of the tools in use with owners, risks and approvals, sensitivity labels and data loss prevention to keep confidential data out of public AI, and controls mapped to ISO/IEC 42001 — with evidence auditors and investors can follow.

How can Dual Layer IT help?

We guide firms through every stage — from the first gap analysis to framework implementation. That includes writing IT policies, preparing due diligence questionnaires, aligning systems with ISO 27001:2022 and NIST, and running mock inspections.

Need our help?

Book a readiness review.

Whether an inspection is coming up, a client has sent a questionnaire, or you simply want to know where you stand, we can help you prepare.

  1. Send us your details using the form.
  2. A compliance consultant contacts you within two business days.
  3. We agree the scope of a readiness review or gap analysis.

Request a readiness review

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