Compliance Made Simpler™

 

Operating a business across multiple countries and jurisdictions provides many opportunities, however, it also comes with regulatory risks and complexities. Furthermore, today’s ever-changing and often grey regulatory environments may lead to serious consequences for your business. At Holland & Marie (HM), we simplify compliance to achieve your desired business objectives.

 

ReGULATORY Compliance SERVICES

At HM, we provide consultancy services on compliance according to the regulatory requirements of multiple jurisdictions, especially in Singapore, Hong Kong and New York. 

Anti-Money Laundering (AML)
Know Your Customer (KYC)

We provide consultancy services on all aspects of your Anti-Money Laundering (AML) and Know Your Customer (KYC) programmes, including preparing and reviewing AML and on-boarding procedures, investor and client screening, AML remediation, refresher exercises and specialised staff training.

LICENSING

We assist you in preparing and obtaining Monetary Authority of Singapore (MAS) or Securities and Futures Commission (SFC), Hong Kong licenses for companies and individuals, including funds, broker-dealers, fintechs and payments businesses.

INTERNAL AUDIT

We provide internal audit services of your internal control functions (Compliance, Operations, Finance, etc) to satisfy regulatory requirements. We also offer consulting with respect to navigating internal audits.

INDIVIDUAL ACCOUNTABILITY & CONDUCT

We help financial institutions (“FIs”) satisfy the outcomes (the “Outcomes”) set out in the Monetary Authority of Singapore’s (the “MAS”) Guidelines on Individual Accountability and Conduct (the “IAC Guidelines”) and the Information Paper on Culture and Conduct Practices of Financial Institutions (the “Information Paper”).

POLICIES & PROCEDURES

We draft and customise compliance manuals/plans, internal policies and procedures (including AML/KYC,
data protection, risk management frameworks and assessments, business continuity plans and
internal control documents).

Outsourced Compliance

We help you understand your ongoing regulatory obligations and create personalised compliance plans (including outsourced compliance support) to meet regulatory requirements.

ESG ReportING

We assist in reviewing your environmental, social and governance (ESG) position (both your own status as well as of the counter-parties you wish to evaluate) with respect to the United Nations Sustainable Development Goals.

Advisory & Ongoing Consulting

We offer non-legal advisory and consulting services with respect to compliance matters, including corporate governance, managing regulator expectations and communications, updating you on market developments and best practice trends, and recommending cost-efficient solutions to address and comply with applicable regulations.

COMPLIANCE Training

We design and deliver compliance training solutions to meet your business needs and track training records for licensed representatives to ensure they fulfil their requirements, including Singapore’s Continuous Professional Training and Financial Advisers Continuous Professional Training requirements. For further details of our training offerings, click here.

HOW CAN WE HELP YOU?

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RELATED INSIGHTS

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Introduction In the Guidelines on Outsourcing (the “Outsourcing Guidelines”), the Monetary Authority of Singapore (the “Authority”) provides detailed guidance on what service arrangements constitute outsourcing.

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