APAC COMPLIANCE SOLUTIONS
Our team has a deep understanding of the rules, guidelines and processes in relation to obtaining licences and registrations. We follow the process meticulously and assist clients from initial business set up to maintaining all ongoing regulated activities.
We advise and guide financial institutions such as fund managers, financial advisers, insurance brokers, trust managers and payment services providers on the respective licensing requirements to ensure a smooth application process.
Our team of compliance professionals can assist with the following:
- advising on the specific license requirements
- advising on regulatory capital requirements
- preparation and submission of application forms
- negotiating license conditions with authorities
- preparation of all documentation relating to operations, corporate governance and risk management obligations
- liaising with local regulators.
In addition, we can assist each responsible officer and licensed representative in the following ways:
- advising on competency requirements and on available waivers (where applicable)
- liaising with the authorities on the assessment of the ‘fit and proper’ test of licensed representatives.
- assistance to complete and prepare the CVs of licensed representatives
We advise and guide financial institutions such as fund managers, financial advisers, insurance brokers, trust managers and payment services providers on the respective licensing requirements to ensure a smooth application process.
Banking and Financial Services
