Compliance Services


We make businesses more profitable by simplifying compliance. The regulatory environment continues to grow more complicated. This problem is exacerbated by inconsistent regulatory requirements across jurisdictions. While compliance is not simple, we have the experience, intellect and judgment to make it simpler - which leads to better, faster and more profitable outcomes.  Our services, including MAS licensing, advice and consulting and outsourced compliance support, are described below.

Outsourced Compliance

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

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).

AML / KYC

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. For further details click here.

Licensing

We assist you in preparing and obtaining  MAS or SFC licenses for companies and individuals, including funds, broker-dealers, fintechs and payments businesses.

ESG Reports

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

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.

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.

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 work with funds, asset managers, broker-dealers, payments firms and other financial institutions on licensing and ongoing compliance matters.