Our Services

Licensing

ComplianceAsia has a proven track record since 2003 of obtaining licensing and registrations for financial services firms in Asia Pacific in an efficient and seamless manner. We also support hundreds of individual licensees with their licensing requirements.

Ongoing Compliance Support

ComplianceAsia helps you with your compliance and regulatory programmes and communications with your regulators in Asia Pacific, so that you and your staff remain compliant even if you are a small team or are based outside of Asian time zones.

Regulatory Advice

ComplianceAsia's regulatory research team assists clients by tracking important regulatory changes in Asia Pacific and offer clients’ access to guides on important compliance topics and glossaries to ensure that compliance teams are continuously up to date.

AML and KYC Assistance

ComplianceAsia has been actively engaged in AML/KYC projects since our founding in 2003. 

Mock Inspections, Compliance Healthchecks and Inspection Remediation

ComplianceAsia provides mock inspections and compliance healthchecks for financial industry firms across Asia Pacific to ensure that your firm is prepared for regulatory inspections, investor due diligences and post regulatory inspection remedial support.

Compliance Policies and Operating Procedures

ComplianceAsia knows that legislation and regulations are always changing and that your business will grow and expand. With over 15 years of experience, we have developed an unrivalled precedent database of all types of compliance and internal control policies and procedures.

Compliance Training

ComplianceAsia's expert team provides a unique combination of online training for employees and classroom-based training to Responsible Officers, CEOs, C-Suite employees and senior management from financial institutions to ensure that the compliance training needs of all levels of staff are met.

Internal Audit

ComplianceAsia Internal Audit provides internal audit and independent compliance reviews, which include a documentary review and field work.

Regulatory Change Tracking

ComplianceAsia's regulatory research team assists clients by tracking important regulatory changes in Asia Pacific in multiple languages on an ongoing basis in addition to its library of guides on important compliance topics, to ensure that compliance teams remain up to date and informed.

Sanctions

ComplianceAsia provides sanction screenings against US, EU and UN sanctions using ComplianceAsia's proprietary tool to ensure clients are enacting AML/KYC procedures applicable to Hong Kong and Singapore regulations.

FinTech and RegTech

ComplianceAsia assists digital technology providers and users, robo-advisers, P2P lenders, payment services, crowd-funders, blockchain and bitcoin users to obtain regulatory licences in Hong Kong and Singapore and provide ongoing compliance support.

ESG Consulting

ComplianceAsia ESG Consulting is a specialist service to help Asian based financial industry firms deal with the fast-changing regulatory landscape of ESG investing in our region. We offer a broad range of ESG services designed for firms in Asia Pacific starting on their journey towards ESG compliance and investment all delivered in an accessible and cost-effective way.