What we offer
Services
Compliance advisory across the full regulatory lifecycle, from initial setup through ongoing obligations and enforcement response.
Tailored to SFC-regulated firms, TCSP licensees, virtual asset businesses.
Each engagement is shaped around the client's regulatory profile, activity type, and current compliance posture. The services below represent our core advisory areas.
Licensing
- SFC licence applications across all licence types
- Licence condition uplift
- Licensing and notifications of licensed individuals
- Regulatory strategy for new market entrants
Compliance Frameworks
- Policy and procedure manual drafting
- Compliance programme design and gap analysis
- Internal controls review and documentation
- Regulatory obligation mapping
- Compliance function design for new entities
AML & KYC
- AML/CFT programme design and review
- Client onboarding procedures and risk rating
- Transaction monitoring controls and infrastructure
- MLRO support and advisory
- Virtual asset-specific AML controls
Ongoing Advisory
- Retained regulatory monitoring and updates
- Ad hoc regulatory questions and guidance
- Circular and consultation paper reviews
- Response drafting for regulatory correspondence
- Board and senior management briefings
- Personal Account Dealing Review
Inspection & Enforcement
- Pre-inspection readiness reviews
- Internal audit and control testing
- Post-inspection remediation planning
- Remediation report
Training
- Compliance training
- AML/CFT training
- MIC training
- Tailored training for specific regulatory changes
- Board-level regulatory briefings
Who we advise.
Our advisory covers SFC regulated activities, TCSP licence, and global virtual asset businesses, including the following activities:
Capital Markets & Brokerage
- Capital Markets (ECM/DCM)
- Stock & Futures Brokerage
- Placing & Underwriting
- Research & Advisory
- Discretionary Account Management
- Fund Management
Virtual Assets
- Virtual Asset Exchange
- Virtual Asset Custody
- Virtual Asset OTC Trading
- Market Making