Service Overview

Registration
  • SFC Corporate and Individual License Applications, including addition of regulated activities and uplift of licensing conditions
  • US SEC registration and advisory
  • US CFTC registration and advisory
Compliance Program Support
  • Tailored ongoing advice and support for SFC, SEC, CFTC regulations AIFMD marketing advisory
  • Compliance Monitoring Plan design, development and execution
  • Compliance Manual drafting, updating and review
  • Email and social media reviews
  • Allocation testing and management
  • Expert network chaperoning
  • Marketing and advertising reviews
  • Periodic regulatory filings including BRMQs, Financial Resources Returns, Annual Returns
  • Annual compliance review
  • Tailored compliance training both on and offsite
  • ESG Support
  • Personal trading and employee compliance support
  • Cyber policy design and support
  • Business continuity planning and support
  • Global marketing support (SFC, SEC, FCA, Best Practice)
  • Resources Returns, Annual Returns
  • Ad-hoc regulatory form filings including “12.5” Notifications, Record Keeping/EDSP Approvals
Business
Support
  • Operational and compliance due diligence
  • Vendor management and due diligence
  • Trade surveillance & support
  • Marketing surveillance program development and implementation
  • Internal audit co-sourcing and support
  • AML and OFAC support and remediation
  • Crypto currency policy and procedures support
Testing
  • Full-Scope Mock Inspections
  • Annual and quarterly testing programs
  • Fee and expense reviews
  • Targeted “Health-Checks”
  • Regulatory Heat Maps
  • Thematic Reviews
Resource
Management
  • Long and short term secondments
  • Onsite and off site outsourcing
Exam & Crisis Management
  • Regulatory exam support and investigatory management
  • Document review and production
  • Mock interviews and in review preparation
  • Remediation and corrective action planning
APPROACH

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