Compliance consulting Asia

IQ-EQ represents the largest independent regulatory compliance firm in the Asia-Pacific region with extensive experience in compliance consulting.

With 100+ regulatory compliance specialists now part of our team in Asia, our extended range of compliance consulting services includes:

• Licence applications – processing Hong Kong Monetary Authority (HKMA), Securities and Futures Commission (SFC), Insurance Authority (IA) and Customs & Excise licences in Hong Kong and Monetary Authority of Singapore (MAS) licences in Singapore, as well as assisting with licence applications in other Asia-Pacific jurisdictions
• AML/KYC due diligence services – including sanctions screenings, PEP, adverse media screening, onboarding services, integrity screening services, AML audits, institutional/enterprise-wide risk assessment, writing and filing suspicious transaction reports
• Mock inspections, compliance healthchecks and inspection remediation – including operational reviews, business process walkthroughs, operational weaknesses assessment, rigorous evaluation for proactive compliance measures
• Development of compliance policies and operating procedures – draft and customise AML policies and procedures specific to your business type and jurisdiction. Where financial institutions have group polices, our team can provide gap analyses and local addenda to align global polices and procedures with local laws and regulations including ESG considerations.
• Compliance training – including online training for employees and in-person training for Responsible Officers, C-Suite and senior management. We offer continuous professional training courses that are fully compliant with the mandatory training requirements of the SFC and MAS
• Internal audit and independent compliance reviews – including a review of compliance structure and monitoring program, review of corporate governance framework, review client onboarding and qualified investor categorisation processes, and more
• Research and advisory – Regulatory change tracking reports, quarterly Singapore regulatory updates with direct FI impacts highlighted, monthly regulatory newsletters. scanning for important regulatory changes in Asia-Pacific and providing clients with guides and glossaries on important compliance topics
• Bespoke programs for ongoing compliance support – including a customised compliance plan, compliance calendar, regulatory filings and notifications, policy and procedure maintenance, review of marketing materials, financial resource calculation assistance and more.
• FinTech and RegTech – define correct licences, ensure data and tech compliance, and craft social media polices.
• Book-Keeping and Financial Reporting – assist in preparing timely and accurate financial accounting records to comply with reporting requirements. These include preparation of period management reports and annual financial reports.

Our compliance services are underpinned by proprietary market-leading onboarding, risk and compliance software platforms: MaxComply and Sanction Check.

Contact us today to learn more about our full regulatory compliance offering in Asia:

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