Ongoing Compliance Support

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.

With teams in Hong Kong, Singapore and Shanghai, ComplianceAsia helps you understand your obligations, creates a plan of action and delivers support to help you meet regulatory expectations in the region. We provide you with:

• A dedicated compliance contact within ComplianceAsia

• A compliance calendar to keep track and remind you of upcoming compliance deadlines

• A customized compliance plan to monitor compliance with internal policies and external legislation and regulations

• Regular compliance visits

• Regular compliance reports for senior management

• Up to date compliance policies and procedures

• Regulatory filings and notifications

• Ad hoc compliance advice and assistance

• Assistance with financial resources calculations

• Compliance training for you and your staff

• Reviews of marketing materials for compliance

Our support programs are reasonably priced, flexible, do not involve upfront payments, and are not tied to other services.

ComplianceAsia can also help you with compliance policies and procedures

To see more of our other services, click here

  • Ongoing Compliance Support in Hong Kong

    ComplianceAsia provides a monthly compliance program to support SFC, HKMA and IA licensed entities with their Hong Kong regulatory needs.

    Comprising of specialist industry teams, our Hong Kong Client Service and Ongoing Support team assists clients with their regulatory requirements locally and in the region.

    Our client coverage includes:

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

    • Asset Management

    • Hedge Funds

    • Private Equity Funds

    • Wealth Management

    • Corporate Finance

    • Broker-Dealers

    • Banks, deposit taking firms and representative offices

    • Insurers, insurance agents and brokers

    • Money service operators and payment solution providers

    • Trustees, fund administrators and custodians

  • Ongoing Compliance Support in Singapore

    ComplianceAsia provides a compliance program to support MAS licensed entities with their Singapore regulatory needs. ComplianceAsia meets the MAS criteria to provide external compliance support to implement and maintain your compliance program.

    Comprising of specialist industry teams, our Singapore Client Service and Ongoing Support team assists clients with their regulatory requirements locally and in the region.

    Our client coverage includes:

    • Capital Markets Services Licence Holders

    • Licensed Accredited and Institutional Fund Management Companies

    • Registered Fund Management Companies

    • Venture Capital Fund Management Companies

    • Financial Advisers

    • Exempt Financial Advisers

    • Exempt Corporate Finance Advisers

    • Insurers, Insurance agents and brokers

    • Asset Management

    • Hedge Funds

    • Private Equity Funds

    • Wealth Management

    • Corporate Finance

    • Broker-Dealers

    • Banks, deposit taking firms and representative offices

    • Trustees, fund administrators and custodians

  • Ongoing Compliance Support in Shanghai

    ComplianceAsia has vast experience in dealing with the CSRC.

    Having opened our Shanghai office in early 2018, ComplianceAsia has a reliable team of China-focused compliance experts who can provide on the ground ongoing compliance support to licensed entities in Mainland China and foreign firms that wish to set up in Mainland China.

    Our client coverage includes:

    • PFM WFOE

    • AMAC registered fund managers

    • QDLP and QDLE

    • QFII and RQFII

    • Asset Management

    • Hedge Funds

    • Private Equity Funds

    • Wealth Management

    • Corporate Finance

    • Banks and representative offices

    Our China-based clients are based in Beijing, Shanghai, Shenzhen, Hangzhou, Nanjing and Guangdong province.