Independence of Compliance
Global regulators have placed an emphasis on the critical importance of the independence of the compliance function. Compliance must be of appropriate standing, authority, and independence to effectively execute the function, for clients and their service providers.
Our compliance services team is comprised of dedicated and highly skilled compliance and Anti-Money Laundering (“AML”) specialists with the necessary expertise to support you. We leverage the wider Apex Group’s infrastructure to facilitate data collation and coordination with multiple stakeholders, thereby enabling the seamless service delivery of regulatory obligations while retaining independence through dedicated teams, operations, and leadership.
We understand the importance of a strong business focused, timely, and responsive compliance function to enable you to navigate your regulatory obligations efficiently while accessing markets quickly and compliantly.
Our solutions bring global regulatory changes across multiple jurisdictions, from fund passporting, global regulatory reporting (Annex IV, Form PF, Conduct of Business report, ICARA, AML, and more) while leveraging new regulatory initiatives for business enablement. Our experts build a collaborative relationship with each of our clients. We take the time to understand your business and define the commensurate regulatory and compliance requirements. We service a wide variety of clients, including fund/asset managers, placement agents, FX brokers and ManCo/Fund platforms, investment advisors that are both Shariah compliant and conventional, and sustainability managers.
Through our global single-source solution, our clients operate in and meet their regulatory obligations across international financial hubs. We provide compliance solutions to regulated financial institutions (entities) and funds across 12 jurisdictions through four regions across the globe, including:
- Abu Dhabi Global Market ("ADGM")
- Cayman Islands
- Dubai International Financial Centre ("DIFC")
- United Arab Emirates ("ESCA")
- United Kingdom
- United States of America
Our offering covers the initial regulatory licensing process, through to ongoing compliance support and beyond.