SERVICES
Our services include:

• Licensing
  • We assist you in preparing and obtaining licenses for companies and individuals.
• Ongoing/Outsourced Compliance Support
  • We help you understand your ongoing regulatory obligations and create personalised compliance plans (including outsourced compliance support) to meet those requirements. 
• Policies & Procedures
  • We draft and customise compliance manuals/plans, internal policies and procedures (including AML/KYC, data protection, risk management frameworks and assessments, business continuity plans and internal control documents).
• AML/KYC
  • We assist with all aspects of your AML and KYC programme, including preparing and reviewing AML and onboarding procedures, investor and client screening, AML remediation and refresher exercises and specialized staff training.
• ESG Reports
  • We assist in reviewing your environmental, social and governance position (both your own status as well as of the counterparties you wish to evaluate).
• Internal Audits
  • We provide internal audit services of your internal control functions (Compliance, Operations, Finance, etc) to satisfy regulatory requirements.
• Training
  • We design and deliver compliance training solutions to see your business needs, track training records for licensed representatives to ensure they fulfill their requirements, including Singapore's Continuous Professional Training and Financial Advisers Continuous Professional Training requirements.
• Outsourced COO
  
  • We can provide outsourced COO services, including managing and coordinating your business functions and service providers.
• Advisory
  
  • We offer non-legal advisory services with respect to compliance or general business matters, including managing regulator expectations and communications, updating you on market developments and best practice trends, and recommending practical/cost efficient solutions to address and comply with applicable regulations.       

CLIENTS
Our clients include:

• Asset Managers and Investment Advisers
• Broker-Dealers and Investment Banks
• Family Offices
• Hedge Funds
• Insurers
• Private Equity Funds
• Wealth Managers