Our services

Licensing

ComplianceAsia has a proven track record of efficiently and as seamlessly as possibly obtaining licences and registrations for financial services firms in Hong Kong, Singapore and elsewhere.

Ongoing Compliance Support

ComplianceAsia helps firms to understand their ongoing regulatory obligations in Asia and create compliance plans to meet those requirements, and delivers personalised compliance support to your Asian offices to ensure your regulatory obligations are met and regulatory relationships run smoothly.

Compliance Policies and Procedures

ComplianceAsia knows that legislation and regulations are always changing and that your business will grow and expand. We help you to draft and customise compliance manuals, compliance plans, risk management frameworks, operational manuals, AML policies and procedures, business continuity plans and internal control documents.

AML and KYC

ComplianceAsia assists with all aspects of your AML and KYC programme including preparing and reviewing AML polices and client on boarding procedures, investor and client screening, AML remediation exercises and specialised AML staff training.

Mock Inspections and Compliance Reviews

ComplianceAsia offers clients mock inspections and examinations, compliance reviews and compliance gap analysis. We examine the existing compliance policies, procedures, monitoring and systems currently in use and undertake operational reviews of the compliance integrity of the business processes in place. Our reviews encompass both a documentary and practical element and commentary on any compliance gaps we identify.

Internal Audit

ComplianceAsia undertakes internal audits for a variety of clients. We provide fund managers in Singapore with internal audits for MAS purposes. We also provide bespoke internal audits for investors, regulators, and during mergers and acquisitions.

Family Offices and Proprietary Trading Pools

Family offices and proprietary trading pools occupy a unique position in the Asian market place with specific compliance and governance requirements. ComplianceAsia assists its family office and prop trading clients with compliance programmes to deal with conflicts of interest arising from co-investment, multiple directorship, public- private investment and insider information flows.

Research and Advisory

We track important regulatory changes throughout Asia Pacific on a regular basis and provide our clients with a quarterly service that keeps you up to date and informed about consultation papers including their release, response deadlines, closing and finalisation, changes to securities legislation including when they are proposed and gazetted, deadlines and final implementation, changes to regulatory codes and guidelines including when proposed and / or released, a summary of the terms of the consultation and how it will potentially impact your business.

Corporate Governance and Company Secretarial

There is growing regulatory expectation for financial institutions and funds to implement appropriate and robust corporate governance structures. ComplianceAsia helps you define corporate governance arrangements, reporting and escalation procedures, and appropriate record keeping. We also help our private equity and other clients manage their company secretarial process.

FinTech and RegTech

The FinTech industry is experiencing an extraordinary rise with a growing surge in investment in the industry worldwide and with much of the underlying technology being developed in Asia. The regulation of FinTech is proving challenging for both industry newcomers and regulators, and ComplianceAsia can help you through the confusing landscape of how to get licensed and operate in a compliant way in a new industry.

Business Due Diligence

Regulatory concerns about business integrity in the financial industry have been growing since the financial crisis. These concerns have coalesced with fears about the appropriateness of cybersecurity arrangements in place as large amounts of information move between companies and countries. Financial industry firms are being required to attest to the integrity of their employees, clients and business partners as well as the validity of outsourcing and counterparty arrangements. ComplianceAsia assists its clients with ensuring they have the appropriate procedures and controls in place in relation to outsourcing and verification, and performs a wide range of background checking, screening and investigation services.

Compliance Training

ComplianceAsia’s expert team provides a unique combination of online and class based training to financial institutions to ensure that the compliance training needs of all levels of staff are met. We help you meet your competence and continuous professional training obligations through focused, practical training courses based on case studies designed to be relevant and interesting to target audiences. Our courses focus on Asian based content and can be delivered in English, Cantonese, Mandarin, Korean and Japanese.

Market and industry insight