Ongoing Compliance Support

For our ongoing compliance services, we are committed to providing you with personalized support by assigning a dedicated team member specifically for your firm. This assigned professional will be responsible for overseeing all compliance-related services, ensuring that your organization receives tailored guidance and timely assistance.

CLIENTS COVERAGE

• Type 1, 2, 3, 4, 5, 6, 7, 8, 9 and 10 SFC licence holders

• Virtual Asset Operators

• Asset Management

• Virtual Asset Funds

• Hedge Funds

• Private Equity Funds

• Wealth Management

• Corporate Finance

• Broker-Dealers

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SERVICES

• Compliance Advice: Provide continuous compliance advise whenever you have questions or concerns.

• Individual License Application: Draft and submit licenses application for Responsible Officers and Licensed Representatives.

• Personal Account Dealing Monitoring: Oversight and record-keeping to ensure adherence to compliance standards.

• SFC Notifications: Assistance with filing notifications required by the rules, along with ongoing communication with the SFC.

• Manager-In-Charge (MIC) Update: Advise on the MIC regime and support in maintaining accurate records as required by regulatory standards.

• Continuing Professional Training (CPT): Provision of training and tracking to ensure your team stays compliant with ongoing regulatory requirements.

• Marketing Material Compliance Reviews: Evaluation of your marketing materials to ensure they meet regulatory guidelines.