Philippa Allen, CEO and Managing Director
Alex Duperouzel, Managing Director
Our team of compliance specialists:
- goes beyond traditional legal and audit services by offering a focused and practical approach.
- works with existing legal and compliance teams, lawyers, internal and external auditors.
- develops specific compliance and project management solutions to fit the needs of each client.
- allows financial institutions to supplement their existing compliance functions without the cost constraints of financing internal resources.
- is involved in a large amount of corporate licensing and market entry work in Hong Kong and Singapore.
- manages the most diverse and substantial ongoing compliance support program of any compliance consulting firm in the region.
- undertakes complex and diverse compliance projects on behalf of firms with an existing compliance department including:
- mock inspections
- documentation upgrades
- compliance reviews
- post inspection remediation
- support for internal compliance or investigation inquiries
- undertakes background checking and due diligence investigations for the financial industry.
- offers an independent start up consultancy service to hedge fund managers commencing operations in Asia Pacific.
The principals of ComplianceAsia have over forty years of legal and compliance experience in the financial industry in Asia Pacific with in-house experience in each major Asian jurisdiction. ComplianceAsia was established in 2003 with offices in Singapore and Hong Kong and operates throughout Asia Pacific and the Indian subcontinent.