03 · Compliance and regulatory

Compliance and regulatory support

Compliance requirements vary with licence, strategy, client profile, products, distribution and operations. Our work is tailored to the business rather than built solely around generic templates.

People-led judgement. Technology-enabled control.

Service scope

Configured around the engagement.

The following illustrates a typical scope. Final responsibilities and deliverables are agreed in writing for each client.

Compliance advisory

Ongoing support to help fund managers implement and maintain appropriate compliance arrangements.

Typical scope

Compliance framework and manual review
Regulatory change and monitoring programmes
Board and management reporting
Conflicts, personal account dealing and staff registers
Outsourcing oversight and incident support
Inspection preparation and training coordination

Outsourced compliance operating support

A documented support model for recurring compliance work, calibrated to the client’s licence, scale, activities and internal resources.

Typical scope

Annual compliance workplan and obligations calendar
Monitoring tests, evidence requests and issue tracking
Regulatory update assessment and implementation support
Compliance registers and management information
Board reporting, escalation and remediation follow-up
Periodic review of scope, access and service performance

Outsourcing support does not transfer the regulated entity’s accountability. Senior management and the board retain oversight and final responsibility.

CMS licence applications

Project coordination and professional support for capital markets services licence applications and material business changes.

Typical scope

Readiness and business-model assessment
Application planning and checklist management
Legal and compliance adviser coordination
Framework, policy and projection preparation
Governance and key appointment documentation
Regulatory query and pre-commencement coordination

Regulatory approval remains at the discretion of the relevant authority. Our role is to coordinate the process and help prepare a complete, supportable submission.

Regulatory reporting

Preparation, tracking and coordination of recurring and event-driven regulatory submissions.

Typical scope

Regulatory calendar and periodic filing support
Financial return and licence-condition tracking
Change notifications and appointment filings
Annual declarations and evidence retention
Follow-up and remediation tracking

KYC, AML and CFT

Design and operational support for risk-based customer and investor due diligence frameworks.

Typical scope

AML/CFT policies and risk assessments
Individual, corporate and beneficial-owner KYC
Source of wealth and source of funds assessment
PEP, sanctions and enhanced due diligence workflows
Periodic review, escalation and recordkeeping
Screening and onboarding technology integration

Automated screening supports professional review; it does not replace the client’s responsibility to understand investors and assess risk.

Why the appointment is supportable

Capability with a visible control model.

The service case is not based on breadth alone. The mandate, control steps, operating evidence and retained client oversight are defined together.

01 · Mandate

A risk-based compliance support mandate mapped to the client’s licence, regulated activities, products, customers, distribution model and internal governance.

Control design

Annual monitoring plan with defined frequency and ownership
Documented evidence, findings and remediation tracking
Escalation criteria for breaches, overdue items and material changes
Direct reporting routes to authorised management and the board

Operating evidence

Compliance risk assessment and workplan
Monitoring workpapers and obligations calendar
Registers, issue logs and remediation evidence
Periodic management and board reporting pack

Client oversight

The regulated entity retains accountability to MAS
Management approves policies, risk appetite and reserved decisions
The provider receives sufficient access to perform meaningful work
Performance, independence, scope and conflicts are reviewed periodically

Review the appointment standard

Connected outputs

Designed to leave an operating system, not a loose collection of tasks.

Compliance implementation plan

Regulatory obligations calendar

Control and evidence framework

Management reporting pack

Issues, actions and escalation register

Related capabilities

The next workstream is already connected.

Fund administration Structuring and corporate Tax advisory

Start the conversation

Discuss your compliance and regulatory requirements.

Tell us where you are today. We will help define the capabilities, professionals and next steps required.

Speak with our team