Corporate Compliance

The cornerstone of your risk and compliance identity

Corporate Compliance Services

Our corporate compliance services cover a wide range of managed services including e-communication reviews, marketing material and advertisement review, regulatory compliance review, distribution compliance, code of ethics monitoring and social media surveillance. Our regulatory compliance professionals work as an extension of your firm’s team of in-house compliance officers to provide support and assist you in terms of seamless workflow. Combined with our expertise in compliance, our subject-matter experts strive to maintain internal controls and help redesign workflow to mitigate inherent and potential risks identified under any policy or regulation.

Corporate Compliance Services - Support We Offer

  • Portfolio Analysis

  • Performance Analysis

  • Client Reporting

  • Factsheet

  • Strategy/Product Presentations

  • Press Releases/Media Newsletters

  • Website Content

  • Commentaries

  • Risk Reports

  • Educational Presentations

  • Thought Leadership

  • Pitchbooks/Bluebooks/Pinkbooks

  • Product Profile

  • RFPs/RFIs

  • Whitepapers

  • Brochures

  • LinkedIn Reviews

  • Twitter Reviews

  • Social Media Posting Approvals

  • Emails

  • Instant Messenger/Chatrooms

  • Terminal Messenger (e.g. Bloomberg, Yammer, etc.)

  • Voice Recordings

  • Personal Trade Account

  • Outside Business Interest/Personal Interest

  • Gift and Entertainment

  • Political Donations

  • Transfer Reports

  • Registrations/Licensing Monitoring

  • Certifications (Annually or Quarterly)

  • Conflicts Register (Annual)

  • Training (Annual)

  • PRIIPs – Packaged Retail Investment and Insurance-Based Products

  • SMRC – Senior Managers and Certification Regime

  • Manager selection program

  • Third party distributors program

  • Firms’ ESG policies and procedures

  • Exclusion policies

  • Pre-screening and due diligence processes

  • Stewardship policies

  • ESG disclosures

  • ESG frameworks such as checklists and questionnaires

  • Prospectuses of Article 6, 8 and 9 funds

  • Portfolio and country allocations

  • ESG committee documents, including charters and terms of reference

Corporate Compliance Services - Support We Offer

  • Portfolio Analysis

  • Performance Analysis

  • Client Reporting

  • Factsheet

  • Strategy/Product Presentations

  • Press Releases/Media Newsletters

  • Website Content

  • Commentaries

  • Risk Reports

  • Educational Presentations

  • Thought Leadership

  • Pitchbooks/Bluebooks/Pinkbooks

  • Product Profile

  • RFPs/RFIs

  • Whitepapers

  • Brochures

  • LinkedIn Reviews

  • Twitter Reviews

  • Social Media Posting Approvals

  • Emails

  • Instant Messenger/Chatrooms

  • Terminal Messenger (e.g. Bloomberg, Yammer, etc.)

  • Voice Recordings

  • Personal Trade Account

  • Outside Business Interest/Personal Interest

  • Gift and Entertainment

  • Political Donations

  • Transfer Reports

  • Registrations/Licensing Monitoring

  • Certifications (Annually or Quarterly)

  • Conflicts Register (Annual)

  • Training (Annual)

  • PRIIPs – Packaged Retail Investment and Insurance-Based Products

  • SMRC – Senior Managers and Certification Regime

  • Manager selection program

  • Third party distributors program

  • Firms’ ESG policies and procedures

  • Exclusion policies

  • Pre-screening and due diligence processes

  • Stewardship policies

  • ESG disclosures

  • ESG frameworks such as checklists and questionnaires

  • Prospectuses of Article 6, 8 and 9 funds

  • Portfolio and country allocations

  • ESG committee documents, including charters and terms of reference

How we are different

EXPERIENCE
EXPERIENCE
Our compliance support team is specialised in reviewing material from a number of regulators such as the SEC, FINRA and FCA, providing you with a centre of excellence to support your global marketing teams
PROCESS OPTIMISATION
PROCESS OPTIMISATION
Specialised in monitoring specific policies in line with Rule 204A-1 and country-specific regulatory requirements, our subject-matter experts are uniquely placed to monitor your code of ethics globally with our corporate compliance solutions
STRONGER SERVICE QUALITY LEVELS
STRONGER SERVICE QUALITY LEVELS
We are committed to helping firms mitigate high risks such as existing and potential individual and organisational conflict, conducting due diligence, and enhanced bribery and compensation monitoring with a key focus on protecting stakeholder interest
NEARSHORE CAPABILITIES
NEARSHORE CAPABILITIES
We have extensive experience – from enhancing lexicons to timely escalation – due to our ability to work across time zones, helping onshore teams understand an immediately actionable plan at the start of their day
TECHNOLOGY
TECHNOLOGY
We are experienced in working with compliance tools such as Global Relay, Smarsh, Symphony, Salesforce, Compliance Accelerator and Star Compliance to provide regulatory compliance services

What we have done

Support for Consulting and Corporate Firms
Advertising material review support to a British global asset management group
What we are proud of

4x

more advertising material reviewed

50% reduction

Provided around a in compliance costs

Support for Consulting and Corporate Firms
Marketing literature review support for a hedge fund with offices in the US and the UK
What we are proud of

100%

Met deadlines

35%

reduction in compliance costs

Multi-functional Compliance Support for US-based Global Asset Manager
What we are proud of

100%

review of tracking securities trading

30%

reduction in client workload

Support for Consulting and Corporate Firms
Sales & Marketing Literature Review Support for US-Based Global Asset Manager
What we are proud of

35%

reduction in cost of complacency

100%

timelines achieved

In the News

CityWire Asia
How asset managers should handle whistleblowers
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Compliance Podcast Network
“Innovation in compliance with Tom Fox- Knowledge process outsourcing with Jehan Jeyaretnam”
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Kyckr
“The Future of KYC Compliance — Insights from Jehan Jeyaretnam”
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