Compliance Advisory Services

Our independent regulatory compliance consultant is experienced with assisting organisations meet their regulatory obligations. We will determine your status of compliance and recommend any improvements and best practice to enhance your compliance operations and systems. Where we identify gaps, we will work with you to remediate and determine the best solutions suit your risk profile, business and operations.

Our independent regulatory compliance consultant is experienced in providing expert advice and support with:

• Interim Compliance Officer coverage.
• Compliance risk assessments and due diligence reviews.
• Independent review of risk and compliance controls. Including: identification of risk exposure and recommending controls to mitigate any risks; controls design effectiveness; conduct risk; and accountability.
• Governance framework, including board and senior management oversight and supervision.
• Compliance and advisory support, including ad-hoc queries.
• Compliance and risk management framework development. 
• Policy and procedure development.
• Compliance manual and code of conduct / ethics development.
• Compliance training program and material development.
• Enterprise-wide risk management (ERM) framework.
• Advise on regulatory change, industry trends, best practice.
• Regulatory licensing applications and queries.
• Regulatory inquiries and notices.
• Regulatory inspections and audits. Remediation of findings.

Some of our compliance specialty areas:  

• Securities licensing requirements, approval conditions and regulatory obligations for Singapore, Australia and Asia Pacific markets.
• Market Integrity and Codes of Market Conduct - ASIC Market Integrity Rules, FX Global Code, best execution, market supervision, market abuse and misconduct.
• Regulatory reporting obligations - ASIC breach reporting.
• OTC derivatives trading - compliance and risk controls.
• Payment Services and Systems - Singapore (MAS) regulatory and compliance requirements under the Payment Services Act.
• Securities and trading exchanges - compliance framework.
• Technology risk management (TRM).
• Outsourcing - third party risk management.

 We are experienced advising:  

• Securities broker-dealers.
• Securities and digital asset exchanges.
• Securities trading platforms, trading technology providers.
• Algorithmic trading and electronic trading platforms.
• Payment service providers.
• RegTech and FinTech providers.

If you would like to learn more about our services, please contact us.