ComplianceAsia offers clients mock inspections and examinations, compliance reviews and compliance gap analysis.

We examine your existing compliance policies, procedures, monitoring and systems and undertake an operational review of the compliance integrity of the business processes in place.

Our reviews encompass both a documentary and practical element. We may interview staff to obtain descriptions of the work processes they are involved with or require a demonstration of the trading system and a walk through of the operating processes with a focus on how the process meets local compliance requirements as to handling client assets, reporting to clients and investors, and market protection.

ComplianceAsia provides you with advice on:

  • areas of potential non-compliance with legislation and regulation
  • areas where policies and procedures may not be in accordance with market best practice
  • areas of operational weakness in your existing practices
  • areas which are not currently covered or are inadequately dealt with in existing policies and procedures

We make recommendations as to ways in which findings can be addressed and a suggested timeline for the implementation of any remedial work.