Global Compliance Solutions

We understand the importance of a strong business focused and timely compliance function for companies to navigate increasing regulatory obligations efficiently whilst enabling clients to access markets quickly and compliantly. Our clients include fund/asset managers, placement agents, FX brokers and MANCO/Fund platforms, investment advisors, both Sharia compliant and conventional.

Through our global platform of compliance services we can support clients to operate and meet their regulatory obligations across international financial hubs. We provide a single-source solution that covers the initial regulatory licensing process, through to ongoing compliance support and beyond.

Our experts build a collaborative relationship with each client taking time to understand the business and define the commensurate regulatory and compliance requirements. We provide full regulatory proficiency including Compliance Technology – allowing our clients to focus on building and growing their business.

Our Expert Knowledge

  • Fund & Asset Managers.

  • Venture Capital Managers.

  • Licensed & Registered Fund Managers.

  • External Fund Managers.

  • Principal Investors/ Co-Investment.

  • Placement Agents.

  • Corporate Finance.

  • Investment Advisors.

  • Hedge Funds.

  • PE/VC Funds.

  • RE Funds.

  • Digital Advisory/ Wealth Platforms.

  • Margin Trading / FX brokers.

  • Sharia compliant & conventional finance.

Regulatory Licensing:

We provide a single-source solution to clients who require global access, our regulatory licensing services cover international jurisdictions including:

 

  • Dubai Financial Services Authority (DFSA) – Dubai International Financial Centre (‘DIFC’).
  • Financial Services Regulatory Authority (FSRA) – Abu Dhabi Global Market (‘ADGM’).
  • Financial Conduct Authority (FCA) – United Kingdom.
  • Monetary Authority Singapore (MAS) – Singapore.
  • Securities Exchange Commission (SEC) – United States of America.

 

Services:

  • Regulatory business plan development.
  • Identification of applicable regulatory permissions and framework to support the proposed business activities.
  • Assistance in preparing the financial projections for regulatory capital requirements.
  • Identification of the applicable risks commensurate with the business model.
  • Regulatory application documents.
  • Compliance Policies & Procedures.
  • Interface and support with the regulatory agencies.

 

Fund Services:

We can undertake the regulatory application process and incorporation support for funds that are established in regulated jurisdictions.

 

Services include:

 

  • Regulatory advisory on fund domicile.
  • Fund applications.
  • Intermediate GP applications.
  • Investor/ Investment DD.
  • SPV Formation.
  • Client Assets Compliance.
  • Fund Service Provider DD.

 

Cross Border Advisory:

We can provide regulatory advisory support on various matters, including:

 

  • Global compliance policies and procedures.
  • Cross-jurisdiction compliance support.
  • Cross-jurisdiction licensing.

We provide a range of outsourced regulatory functions which feed into the management reporting framework of regulated companies for effective compliance and governance risk management.

 

  • Compliance Officer.
  • MLRO/AML Officer.
  • Finance Officer.
  • Regulatory Risk Officer.

Compliance Services

Our tailored compliance services help our clients adapt to the ever-changing regulatory environment:

 

  • Financial Promotion/ Marketing compliance
  • Placement services compliance
  • Registration of funds for marketing (Recognised Jurisdiction/Overseas Equivalence regimes)
  • Conduct of business compliance- suitability, best execution, PAD, client classification
  • Investment Governance
  • Training Services
  • Compliance Monitoring and reviews
  • Risk Monitoring frameworks and reviews
  • Policies & Procedures
  • Management Information/Governance Reporting for Compliance & Risk
  • Regulatory risk assessment support
  • ESG & Sustainability Compliance

 

Compliance Oversight

Our compliance oversight services are structured to the clients requirements to fulfil their compliance obligations:

 

  • Provide tailored compliance support for the internal compliance structure
  • Local oversight services for global financial services operations
  • Regulatory alerting services
  • Compliance & Risk Management Reports

 

Compliance Technology

A tailored Compliance technology platform to enable a more focused and more responsive service allowing clients to gain quicker access to the markets:

 

  • Automated reporting.
  • Integrated data control.
  • Streamlined risk assessments.

We provide AML and CTF services to a range of regulated institutions, fund, SPV’s, Designated Non-Financial Body Professionals in line with international standards, local FIU and National Risk Assessment (NRA) considerations:

 

  • AML Reviews.
  • AML Business Risk Assessment (BRA).
  • AML Management Information Reports.
  • AML Update Services.
  • AML, CTF, Financial Crime Training.
  • General due diligence services.
  • Investor due diligence.
  • Investment due diligence.
  • Transaction due diligence services.
  • Know your Customer (KYC).
  • Know your Business Partner (KYB).
  • UBO due diligence services.
  • Cayman AML Regulation and Business Risk Advisory.

 

Investment, Transaction and Vendor due diligence focuses on highlighting reputational risk associated with potential investments, transactions or vendors associated with individuals that may be subject to sanction, domiciled in high risk jurisdictions or engaged in high risk products and transactions. We offer a suite of due diligence
services including vendor, investment and transaction due diligence covering various assessments at the
entity and related person level:

 

 

  • Transaction Due Diligence.
  • Investor Due Diligence.
  • Investment Due Diligence.
  • Vendor/ Business partner Due Diligence.

We provide focused support to financial services business seeking to digitalise the delivery of financial services:

  • Licensing for digital/Fintech businesses.
    • Digital wealth management.
    • Digitial/Robo-advisory.
  • Compliance & Risk framework for FINTECH business. 
  • AML Services for digital financial services. 

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