Our Services

On-going Compliance Advisory & Support



We assist our clients to understand their regulatory compliance obligations in which they operate in, by providing on-going compliance advisory and support services to address strategic and tactical needs, so that our clients’ business operations meet regulatory compliance expectations; enabling our clients to achieve their planned growth.

We provide

  • need-based and ad hoc regulatory compliance advice and assistance to our clients e.g. interpretation of regulations and guidelines, inquiries from regulators, actions to be taken upon becoming aware of breaches, system failure, etc.
  • advice on events and incidents that require notifications to the regulators and/or approvals, e.g. a change of shareholder controllers/ directors, business address, capital structure, material breach of regulation, etc.
  • assistance to prepare and review regulatory notification forms and letters for our clients
  • scheduled and periodic compliance visits and discussions with our clients, keeping abreast with our clients business development and change, so as to facilitate timely change notification to the regulators, as appropriate
  • guidance to completing regulatory returns, questionnaires and surveys, and to review drafts prior to submissions
  • advice on the handling of complaints and the investigation process
  • support complaint investigation on a case-by-case basis and preparing the investigation report
  • compliance trackers to monitor our clients upcoming compliance obligations and deadlines
  • review of marketing materials for compliance
  • assistance to prepare regular compliance reports for senior management
  • customised on-going compliance and support packages that meet the business needs of individual client, specifically the newly set-up licensed firms and/or boutique firms.

Compliance Policies & Procedures



We help our clients to formulate, draft and customise fit-for-purpose compliance plans, compliance policies and procedural manuals, AML/CFT procedures, business operational and internal control procedures, pragmatic frameworks to support compliance risk assessment, monitoring and assurance; enabling our clients to better manage risk, deliver and progress effectively.

We provide   

  • review of existing clients’ policies and procedures and conduct gap analysis on regulatory requirements (such as AML/CTF, suitability obligations, client trade execution, etc.); identify enhancements and propose recommendations
  • ​assistance to compile and develop compliance and AML/CTF policies and procedures for our clients, that meet their business needs and regulatory requirements
  • guidance to develop client on-boarding procedures, including KYC profile and accounting opening documents, etc. that meet our clients business model and regulatory requirements
  • review and update of our clients’ general and thematic compliance policies and procedures, manuals and plans, to meet regulatory requirements, expectations and or address regulatory inspections’ comments

Compliance & AML/CFT Training



We provide business controls, general compliance, thematic compliance training and AML/CFT training programmes tailored to our clients’ specific training needs and objectives; enabling our clients to build a robust compliance awareness culture.

We provide

  • general and/ or thematic compliance training
  • wealth management sales & suitability process training
  • periodic and on-going AML/CFT training
  • tailored internal controls and compliance training in accordance to specific client’s needs, objectives and frequency
  • training on the latest regulatory changes and sharing of market intelligence and practices
  • senior management corporate governance training
  • on-boarding new-hires compliance training
  • refresher training programmes

Compliance Monitoring & Audits



We assist our clients to conduct regular transaction monitoring and testing, risk assessments, periodic regulatory and risk-based thematic compliance assurance reviews and independent regulatory and internal control audits; enabling our clients to meet their regulatory compliance monitoring, assurance review and audit obligations.

We conduct

  • risk-based or thematic compliance monitoring and assurance reviews e.g. AML/CFT, investment suitability and client orders, employees’ personal trading, outsourcing, personal data protection, corporate governance, etc.
  • fact-findings reviews and investigations e.g. client complaints, regulatory breaches, etc.
  • mock regulatory audits, to assess the firm’s audit readiness
  • independent regulatory compliance audits
  • thematic compliance gap analysis by examining our clients’ existing compliance policies, procedures and its underlying processes
  • remedial measures working with our clients to address operational weaknesses and areas of potential non-compliance; and also provide recommendations for identified gaps
  • mystery shopping reviews on sales practice of investment and insurance products for retail banks

Business Risk & Internal Controls Consulting



We help and guide our clients in operational excellence and to design efficient risk and control strategies and solutions; enabling our clients to optimise their resources and realise their potentials.

We provide

  • special and operational project advisory and support e.g. set-up and implementation of an investment sales and suitability framework, etc.
  • internal control adequacy review e.g. client complaints handling and management process, records management, etc.
  • operational and control readiness review, in preparation of a new business line set-up
  • business internal control validation and 1st line testing services e.g. validity of client money transfer instructions, third party payments, client information confidentiality, etc.
  • business efficiency assessment of existing operational process risk and internal control and that the control environment is functioning as intended​

Licensing

We assist, guide and work with our clients to facilitate the licenses and registrations process for financial services firms, licensed companies and start-ups; enabling our clients a smooth business transition.

We provide  

  • guidance and work with our clients to understand the business model and assist to develop a fit-for-purpose compliance and control framework
  • help to prepare and submit license applications
  • assistance to liaise with local regulators and respond to regulatory inquiries
  • resources to prepare relevant compliance and control policies and procedures, AML/CFT manuals and plans, forming an integral part of the license application package (where appropriate)

Resource Support



We provide seasoned compliance and control resource to assist our clients to bridge interim resource needs and senior bench-strength support; enabling our clients to meet and deliver their compliance and control commitments timely.

We provide

  • interim compliance and control coverage and resourcing
  • secondment of seasoned compliance and control resources
  • “executive-shadow” and bench-strength support

Business Services



We provide business support services to our clients; enabling our clients to meet their business accounting and administrative commitments.

We provide

  • bookkeeping services
  • compilation of unaudited financial statements
  • payments / invoicing
  • payroll services
  • work pass application