ComplianceAsia has a dedicated team undertaking a wide range of business diligence and related services for clients.

 

Outsourcing

ComplianceAsia helps clients by:

  • providing outsourcing policies and procedures and identifying material service providers
  • undertaking documentary and onsite diligence of the internal and technology controls and cybersecurity arrangements in place at material service providers
  • assisting with reviewing and documenting contractual representations and obligations made by outsourced service providers and firms and implementing a reminder system so that you do not miss important renewal or reconfirmation deadlines

 

Counterparties

ComplianceAsia assists:

  • our buyside clients with the process of being onboarded by counterparties and review the commercial terms of brokerage, prime brokerage and ISDA documentation
  • clients with opening bank accounts, custody accounts and trading accounts
  • with optimising your investor and client onboarding processes to efficiently deal with suitably, KYC, CDD, sanctions and professional investor screening
  • clients with solutions for simplified and enhanced due diligence and name screening for AML and CTF purposes

 

Employees and Business Partners

ComplianceAsia:

  • performs employee integrity screening and background checking for regulatory verification purposes
  • undertakes full investigative due diligence into partners, acquisition targets and potential investee and portfolio companies