Compliance Made Simpler
We make businesses more profitable by solving their compliance needs simply and efficiently. Our team includes consultants with more than 10 years of experience working at a regulator (ex-MAS), as well as consultants who have led the legal & compliance functions of regulated financial institutions.
We assist you in preparing regulatory license or registration applications and obtaining MAS (Singapore) or SFC (Hong Kong) licenses for companies and individuals, including funds, broker-dealers, fintechs and payments businesses.
We help you understand your ongoing regulatory obligations and create personalised compliance plans (including outsourced compliance support) to meet those requirements.
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.
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).
We assist with all aspects of your AML and KYC programme, including preparing and reviewing AML and on-boarding procedures, investor and client screening, AML remediation and refresher exercises and specialized staff 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.
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.