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Compliance calendar and workplan
Keep agreed obligations, owners, due dates and review points visible in one practical plan.
Fund managers · Singapore
Compliance support for fund management companies in Singapore.
If you are unsure whether your fund management company’s compliance obligations are properly covered, we can help you review the current arrangements and identify where support is needed. Advisors Assemble provides ongoing compliance consulting for Singapore A/I LFMCs, with direct access to Jackie for day-to-day questions, MAS queries, high-risk client issues and agreed reviews of your compliance setup.
For venture capital fund managers, see our VCFM compliance support.
Discuss your compliance needsWho it is for
Support shaped around how your firm works.
This support may be useful if you are:
- A smaller A/I LFMC that wants to review the structure or capacity of its compliance arrangements.
- An established firm that needs defined external support alongside management and internal control owners.
- A founder moving from application preparation into an operating compliance programme.
We confirm suitability and scope case by case, taking account of your firm’s activities, circumstances and applicable requirements.
How we can help
Choose the support you actually need.
After reviewing your activities, current arrangements, internal ownership and priorities, we can agree which workstreams belong in the engagement.
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Selected policy maintenance
Review selected policies against your firm’s activities, identify changes needed and prepare revisions for management approval.
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Regulatory-submission support
Agree who supplies the information, prepares the submission, reviews and approves it, and retains the submission acknowledgement.
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Monitoring and management reporting
Review the agreed evidence, document exceptions and report action owners, deadlines and matters requiring management decisions.
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Focused training
Prepare practical sessions for staff or management on the topics included in the engagement.
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Agreed regulatory queries
Help organise the facts, drafts and next steps for query types covered by the scope; your firm approves the response.
Support alongside your management team
You can bring compliance questions to us as they arise, rather than saving everything for a scheduled review. The engagement sets out the work covered, how we communicate and when matters need escalation. Senior management remains responsible for the firm’s compliance arrangements, decisions and supervision, and needs to remain involved.
Not included unless agreed
Know what sits outside the scope.
- Acting as the firm’s compliance officer, unless this is separately assessed and expressly agreed.
- Statutory, independent or external audit work.
- Legal opinions, tax advice or corporate-secretarial services.
- Investment management, investment advice or fundraising.
What stays with you
Management keeps ownership.
- Maintain adequate people, systems and controls for the business.
- Provide accurate, timely information and approve submissions.
- Make management decisions and supervise the firm’s activities.
- Confirm which legal and regulatory requirements apply to each activity.
Your first discussion
What we’ll clarify together.
- Which regulated activities, client types and products are in scope for your business?
- What is already owned internally, and where would extra capacity help?
- Which submissions, policies and monitoring tasks are most time-sensitive?
- How should routine work, exceptions and escalation be documented?
Who you work with
Work directly with Jackie.
You deal directly with the person reviewing your arrangements and answering your questions. Your engagement is not handed down to a junior consultant after the introductory meeting.
Over my career, I have worked in hands-on compliance roles through to manager, team lead and head-of-compliance positions. I have also led teams of auditors performing reviews. My experience spans banks, smaller businesses and payment services firms, including consultancy work for more than 30 clients across CMS, PSA and FAA licence holders.
Having worked inside firms as well as reviewing them, I understand what it takes to put a policy into practice, resolve an issue and explain the position to management. As a solo practitioner, I keep overheads low and stay personally involved in the work.
What happens after you contact us
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Introductory call
We discuss your firm, current arrangements, immediate priorities and whether ongoing support appears relevant.
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Written scope and proposal
You receive a clear proposal setting out the workstreams, responsibilities, boundaries, working rhythm and proposed fees.
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Onboarding and workplan
Once the scope is agreed, we confirm the information needed, named owners, calendar, reporting and escalation points.
Planning an application?
Preparing a fund-management licence application?
See how separately scoped support may help you prepare a relevant A/I LFMC or VCFM application.
Common questions
What you may want to know.
What can ongoing compliance consulting for an FMC include?
The agreed scope can include a compliance calendar, selected policy maintenance, regulatory-submission preparation, monitoring and management reporting. We confirm the workstreams, information needed and responsibilities for your A/I LFMC before starting.
Can you review our existing compliance arrangements?
Yes. If you are concerned about gaps in expertise or whether your current support covers the firm’s needs, we can agree a review of selected arrangements. We will discuss what is already in place, who owns the relevant work and which areas need attention before proposing ongoing support.
Can you support our existing compliance officer?
Yes. We can agree selected work alongside your existing compliance officer, with clear information requirements, responsibilities and reporting arrangements. External support does not automatically replace that appointment or transfer management’s responsibility.
Does external support transfer regulatory responsibility?
No. Management remains responsible for the firm, its compliance arrangements, decisions and submissions.
Are VCFMs covered by this page?
VCFMs have a separate page because their framework and activities should not be treated as identical to those of other licensed fund managers.
Plan your fund-management compliance support.
Use the LFMC compliance responsibilities guide to discuss internal ownership, and the fund-management compliance monitoring guide to identify practical review priorities. Before engaging a provider, compare outsourced compliance scope and responsibilities and review our published packages and fees.
For a separate audit engagement, read about internal audit for fund managers in Singapore, including scope and independence considerations.
Start with a conversation
Start with a focused conversation.
Share the immediate issue, ask initial questions and see whether there is a sensible basis for an engagement.
Discuss your requirements