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Guides
A library covering licensing, ongoing compliance and working with external compliance advisers for fund managers, venture capital fund managers, licensed financial advisers and registered insurance brokers in Singapore.
Published guidance
Choose the question closest to the work your firm is considering.
A practical IAC framework for smaller Singapore financial institutions, covering responsibilities, conduct, proportionality and whether software is needed.
A practical compliance handover checklist covering records, outstanding work, responsibilities and regulatory continuity.
Planning to start an insurance brokerage in Singapore? Learn the MAS RIB requirements for management experience, track record, capital, PII and compliance.
Learn what MAS expects from LFMC internal audits in Singapore, including scope, frequency, outsourcing and proportionate audit arrangements.
A practical approach to AI risk materiality, financial sales communications, agent access and human review for Singapore financial institutions.
Learn how to corroborate source of wealth under MAS guidance using materiality, evidence, plausibility checks and practical SOW examples.
Understand the ongoing MAS compliance requirements for registered insurance brokers in Singapore, including annual returns, audits, CPD, BSC reporting and regulatory notifications.
Can sector experience support a Singapore VCFM licence? Jackie explains MAS admission requirements, CV preparation and conflicts from a pharmaceutical case.
What should an LFMC compliance function do? A Singapore guide to investor checks, fund controls, MAS reporting, outsourcing and management oversight.
What should a Singapore DPT compliance function cover? A practical guide to policies, reporting, AML/CFT operations, product reviews and management oversight.
Preparing a Singapore DPT licence application? Review our MPI checklist for management, capital, compliance, independent assessments and practical roadblocks.
What should your compliance officer actually be doing throughout the year? A practical look at MAS reporting, policies, registers, ongoing checks and management updates for Singapore fund managers.
Applying for a Singapore fund management licence? Learn what to prepare, including your team, capital, business plan, conflicts and MAS licensing support.
Compare outsourced compliance providers in Singapore by recurring work, reporting, fees and management responsibilities before appointing support.
A specific question
We can help define the work required, responsibilities and an appropriate engagement scope.
For a fund management company reviewing its current arrangements, explore our ongoing fund manager compliance support. Venture capital fund managers can review the separate VCFM compliance support scope.
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