Financial Services Trading Compliance


Our Financial Trading Compliance Focues on:

  • Application for MAS licence or registration
  • AML and FC Compliance including but not limited to Customer Due Diligence (CDD) or Know Your Customer (KYC)
  • Enhanced Customer Due Diligence
  • CIS regulatory framework and Prospectus requirements and exemptions for CIS offers
  • GDPR compliance service, independent audit of the implementation across all departments
  • Comparison of Pan Asian Regulatory Licensing requirements and suitability
  • Risk Assessments
  • Compliance Program Planning

We cater for:

  • STP Brokers
  • Buy-side entities, including asset managers, hedge funds
  • Globally regulated businesses wishing to break through ASEAN markets

Alba Compliance is here to assist with all your regulatory and additional permission applications with global regulators. We will also provide ongoing governance support for your growing regulated businesses, covering compliance manuals, policies and procedures, assist with your customer onboarding efforts, advise on latest regulatory rules and its effects on your business, available solutions and technologies

AlbaCompliance offers a full review of your Compliance Monitoring Program, audit our processes, registers, provide useful tool kits for an effective ERM.

  • Latest regulatory changes seek disruption of criminal activity, financial reporting, taking a close interest into fast developing FinTech products and services. MAS expects the firms to perform their new product due diligence, testing in a laboratory environment first, knowing legal and regulatory requirements for deploying the proposed financial product or service, prior to “Going Live”.

  • Knowing the impact on your firm and getting prepared is an overwhelming priority for executives who are forced to spend more efforts on compliance instead of focusing on driving the business forward. However, with our Corporate Compliance Programmes, we will be able to help you handle your financial expectations.

  • In view of MAS proposed amendments to the Securities and Futures Act (Reporting offering electronic broking services of Derivatives Contracts) regulations it is important to stay ahead and prepare your systems accordingly.

  • We are guided by Singapore continuous growth as a key international financial center, firmly believing in our clients’ prosperity and viability viewing compliance as an investment and less of a burden.

We are a viable outsourced partner to keep your inhouse compliance cost effective

harnessing a long term mutual relationship based on professionalism and trust.

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