Compliance Asia Consulting Pte Ltd
2nd row bars
Hedge Fund Consulting Compliance & Regulatory Consulting Fraud Investigation & Due Intelligence Brochures / Events
crc bg
box Licensing
box Compliance Manuals & Documentation
box Compliance Reviews
box Regulatory Assistance & Troubleshooting
box Compliance Training
box Compliance Monitoring
box Compliance Systems
box New Market & New Product Entry
box Investment Fund Services
box Marketing, Publicity & Research Services
box Financial Planning Services
box Documentation Management
Research Services
box Mergers and Acquisitions
box Operational Risk Assessment
Compliance and Regulatory Consulting
Compliance Monitoring
 

ComplianceAsia provides compliance monitoring services for firms which lack internal resource to undertake this work themselves. ComplianceAsia assists firms to monitor and record their regulatory and contractual obligations including:

 

  • Adherence to client investment restrictions and guidelines
  • Personal share dealing activities
  • Client take-on for adherence to know you client and anti-money laundering rules
  • Conflicts of interest and Chinese Wall Crossings
  • Soft Dollars and Directed Brokerage
  • Short Selling
  • Errors
  • Client Complaints
  • Proxy Voting
  • Class Actions
  • Substantial Shareholdings
crc bg2
 
cornerleft graphic cornerright graphic