ComplianceAsia undertakes reviews of and updates to your Anti-Money Laundering Policies and Procedures and client onboarding materials to ensure compliance with local legal and regulatory requirements.

 

ComplianceAsia assists with investor or client screening by:

  • screening companies and their associated individuals through a commercial database for PEP and CTF monitoring purposes and including hard copies of the results on file as required to meet regulatory expectations
  • screening companies and their associated individuals associated with that client against the sanction lists for PEP and CTF monitoring purposes
  • assisting with risk rating client files

 

We offer remedial services including:

  • internal remedial exercises from¬†publicly available information (e.g. via company searches / updated regulatory records of financial institution clients and counterparties)
  • external remedial exercises for deficient files and to contact clients, counterparties and agents as appropriate, and ask them to provide up to date material.

 

ComplianceAsia undertakes reviews of the professional investor or accredited investor status of your client base to ensure that you have on file all the necessary documentation to substantiate that particular clients are suitably qualified.  In addition, we can provide customised AML training to your staff both in an online and classroom format.