Service Overview

Registration
  • MAS corporate and individual licence applications, including addition of regulated activities and uplift of licensing conditions
  • US SEC registration and advisory
  • US CFTC registration and advisory
  • Establishing the core compliance programme
  • New entity or business advisory services
Compliance Program Support
  • Tailored ongoing advice and support for MAS, SEC, CFTC regulations and AIFMD marketing advisory
  • Compliance monitoring plan design, development and execution
  • Compliance manual drafting, updating and review
  • Email and social media reviews
  • Allocation testing and management
  • Expert network chaperoning
  • Marketing and advertising reviews
  • Periodic regulatory filings including Financial Resources Returns, Annual Returns, Nil Declaration for Misconduct Reporting
  • Annual compliance review
  • Tailored compliance training both on and offsite
  • ESG regulatory support
  • Personal trading and employee compliance support
  • Cyber policy design and support
  • Business continuity planning and support
  • Global marketing support (MAS, SEC, FCA, Best Practice)
  • Ad-hoc regulatory form filings including MAS Form 11 for Appointment of CEO or Director / Change of Director's Nature of Appointment from Non-Executive to Executive, Form 10 on Notice for Change of Name and/or Change of Principal Place of Business
Business
Support
  • Operational and compliance due diligence
  • Vendor management and due diligence
  • Trade surveillance and support
  • Marketing surveillance program development and implementation
  • Internal audit co-sourcing and support
  • AML and OFAC support and remediation
  • Cryptocurrency policy and procedures support
Testing
  • Full-scope mock inspections
  • Annual and quarterly testing programs
  • Fee and expense reviews
  • Targeted “health checks”
  • Regulatory heat maps
  • Thematic reviews
Resource
Management
  • Long and short term secondments
  • Onsite and off site outsourcing
Exam & Crisis Management
  • Regulatory exam support and investigatory management
  • Document review and production
  • Mock interviews and in review preparation
  • Remediation and corrective action planning
APPROACH

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