{"id":10041,"date":"2023-06-28T08:03:15","date_gmt":"2023-06-28T08:03:15","guid":{"rendered":"https:\/\/iqeq.com\/?post_type=service&#038;p=10041"},"modified":"2024-04-16T12:37:31","modified_gmt":"2024-04-16T12:37:31","slug":"compliance-consulting-asia","status":"publish","type":"service","link":"https:\/\/iqeq.com\/services\/compliance-consulting-asia\/","title":{"rendered":"Compliance consulting Asia"},"content":{"rendered":"<section class=\"sidebar-anchor\">\n    <div class=\"container\">\n                    <p\n                class=\"pre-header pre-header--purple\"\n                id=\"overview\"\n            >\n                Overview            <\/p>\n            <\/div>\n<\/section>\n\n<section class=\"text-block standard-spacing  \">\n    <div class=\"container fade-in\">\n        <p>IQ-EQ represents the largest independent regulatory compliance firm in the Asia-Pacific region with extensive experience in compliance consulting.<\/p>\n<p>With 100+ regulatory compliance specialists now part of our team in Asia, our extended range of compliance consulting services includes:<\/p>\n<ul>\n<li><strong>Licence applications<\/strong> <strong>\u2013<\/strong> processing Hong Kong Monetary Authority (HKMA), Securities and Futures Commission (SFC), Insurance Authority (IA) and Customs &amp; 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<\/li>\n<li><strong><a href=\"https:\/\/iqeq.com\/services\/aml\/\">AML\/KYC due diligence services<\/a> \u2013<\/strong> 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<\/li>\n<li><strong>Mock inspections, compliance healthchecks and inspection remediation &#8211;<\/strong> including operational reviews, business process walkthroughs, operational weaknesses assessment, rigorous evaluation for proactive compliance measures<\/li>\n<li><strong>Development of compliance policies and operating procedures &#8211;<\/strong> 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.<\/li>\n<li><strong>Compliance training \u2013<\/strong> 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<\/li>\n<li><strong>Internal audit and independent compliance reviews &#8211;<\/strong> including a review of compliance structure and monitoring program, review of corporate governance framework, review client onboarding and qualified investor categorisation processes, and more<\/li>\n<li><strong>Research and advisory \u2013<\/strong> 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<\/li>\n<li><strong>Bespoke programs for ongoing compliance support &#8211; <\/strong>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.<\/li>\n<li><strong>FinTech and RegTech \u2013<\/strong> define correct licences, ensure data and tech compliance, and craft social media polices.<\/li>\n<li><strong>Book-Keeping and Financial Reporting \u2013<\/strong> 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.<\/li>\n<\/ul>\n<p>Our compliance services are underpinned by proprietary market-leading onboarding, risk and compliance software platforms: <a href=\"https:\/\/iqeq.com\/services\/maxcomply\/\">MaxComply<\/a> and Sanction Check.<\/p>\n<p>Contact us today to learn more about our full regulatory compliance offering in Asia:<\/p>\n<p style=\"text-align: left\"><a class=\"btn btn--mint\" href=\"https:\/\/iqeq.com\/make-an-enquiry\/\" target=\"_blank\" rel=\"noopener\">Make an enquiry<\/a><\/p>\n            <\/div>\n<\/section>\n\n<section class=\"sidebar-anchor\">\n    <div class=\"container\">\n                    <p\n                class=\"pre-header pre-header--purple\"\n                id=\"faq\"\n            >\n                FAQ            <\/p>\n            <\/div>\n<\/section>\n\n<section class=\"text-block standard-spacing  \">\n    <div class=\"container fade-in\">\n        <h2>Compliance consulting FAQs<\/h2>\n<p>&nbsp;<\/p>\n                    <div class=\"table\">\n                                    <div class=\"row\">\n                        <div class=\"col\">\n                            What does compliance consulting involve?                         <\/div>\n                        <div class=\"col\">\n                            <p>Compliance consulting is a service that helps businesses ensure they are following relevant laws and regulations. This can involve reviewing and updating policies and procedures, conducting risk assessments, and providing training for employees. Compliance consultants also help businesses stay up to date on new regulations and potential risks.<\/p>\n                        <\/div>\n                    <\/div>\n                                    <div class=\"row\">\n                        <div class=\"col\">\n                            What can a regulatory compliance consulting firm like IQ-EQ do for me?                        <\/div>\n                        <div class=\"col\">\n                            <p>At IQ-EQ, we offer an intelligent compliance consulting service that generates industry-rated compliance documentation. Our team of experts can help businesses navigate complex regulations and develop effective compliance strategies. <\/p>\n                        <\/div>\n                    <\/div>\n                            <\/div>\n            <\/div>\n<\/section>\n\n<section class=\"sidebar-anchor\">\n    <div class=\"container\">\n                    <h2 id=\"key-contacts\">Key contacts<\/h2>\n            <\/div>\n<\/section>\n\n<section class=\"related-section related-section--people related-section--centered standard-spacing\">\n    <div class=\"container\">\n                <div class=\"cards row-load\">\n            <div class=\"person-card\">\n            <a href=\"https:\/\/iqeq.com\/people\/sridhar-nagarajan\/\" class=\"bg-img lozad normal\">\n            <img width=\"290\" height=\"192\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/Sridhar-Nagarajan-Formal-Grey-290x192.png\" \/>        <\/a>\n        <a href=\"https:\/\/iqeq.com\/people\/sridhar-nagarajan\/\" class=\"bg-img lozad hover\">\n            <img width=\"290\" height=\"192\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/Sridhar-Nagarajan-Informal-Green-290x192.png\" \/>        <\/a>\n        <div class=\"info\">\n                    <h3>\n                <a href=\"https:\/\/iqeq.com\/people\/sridhar-nagarajan\/\">Sridhar Nagarajan<\/a>\n            <\/h3>\n                <p class=\"job-title\">Regional CEO, Asia, Middle East and Africa &amp; Managing Director, Singapore<\/p>\n        <div class=\"border\"><\/div>\n                    <p class=\"location\">Singapore<\/p>\n                <a href=\"#contact-person\" class=\"link link--deepgray email\">\n            Send email        <\/a>\n                    <a href=\"tel:+2302129800\" class=\"link telephone\">\n                +230 212 9800            <\/a>\n                            <a href=\"https:\/\/iqeq.com\/people\/sridhar-nagarajan\/\" class=\"link link--darkmint permalink\">\n                Full profile            <\/a>\n                            <div class=\"socials\">\n                <a href=\"https:\/\/www.linkedin.com\/in\/sridhar-nagarajan-0b6a371\/\" class=\"linkedin\">\n                    <span class=\"screen-reader-text\">LinkedIn<\/span>\n                <\/a>\n            <\/div>\n            <\/div>\n<\/div><div class=\"person-card\">\n            <div class=\"bg-img lozad normal\">\n            <img width=\"290\" height=\"190\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" sizes=\"(max-width: 290px) 100vw, 290px\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/Neil-Synott-Formal-Grey.png\" \/>        <\/div>\n        <div class=\"bg-img lozad hover\">\n            <img width=\"290\" height=\"190\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" sizes=\"(max-width: 290px) 100vw, 290px\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/04\/Neil-Synott-Informal-Green-2024.png\" \/>        <\/div>\n        <div class=\"info\">\n                    <h3>Neil Synnott<\/h3>\n                <p class=\"job-title\">Chief Commercial Officer, Asia<\/p>\n        <div class=\"border\"><\/div>\n                    <p class=\"location\">Singapore<\/p>\n                <a href=\"#contact-person\" class=\"link link--deepgray email\">\n            Send email        <\/a>\n                    <a href=\"tel:+6569551574\" class=\"link telephone\">\n                 +65 6955 1574            <\/a>\n                                    <div class=\"socials\">\n                <a href=\"https:\/\/www.linkedin.com\/in\/neil-synnott-21796a26\/\" class=\"linkedin\">\n                    <span class=\"screen-reader-text\">LinkedIn<\/span>\n                <\/a>\n            <\/div>\n            <\/div>\n<\/div><div class=\"person-card\">\n            <div class=\"bg-img lozad normal\">\n            <img width=\"290\" height=\"190\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" sizes=\"(max-width: 290px) 100vw, 290px\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/10\/Philippa-Allen-Formal-Grey.png\" \/>        <\/div>\n        <div class=\"bg-img lozad hover\">\n            <img width=\"290\" height=\"190\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" sizes=\"(max-width: 290px) 100vw, 290px\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/10\/Philippa-Allen-Informal-Green.png\" \/>        <\/div>\n        <div class=\"info\">\n                    <h3>Philippa Allen<\/h3>\n                <p class=\"job-title\">Managing Director, Regulatory Compliance, Asia, Hong Kong<\/p>\n        <div class=\"border\"><\/div>\n                    <p class=\"location\">Hong Kong<\/p>\n                <a href=\"#contact-person\" class=\"link link--deepgray email\">\n            Send email        <\/a>\n                    <a href=\"tel:+85231800480\" class=\"link telephone\">\n                +852 31800480            <\/a>\n                                    <div class=\"socials\">\n                <a href=\"https:\/\/www.linkedin.com\/in\/complianceasia\/\" class=\"linkedin\">\n                    <span class=\"screen-reader-text\">LinkedIn<\/span>\n                <\/a>\n            <\/div>\n            <\/div>\n<\/div><div class=\"person-card\">\n            <div class=\"bg-img lozad normal\">\n            <img width=\"290\" height=\"190\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" sizes=\"(max-width: 290px) 100vw, 290px\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/10\/Yishan-Lee-Formal-Grey.png\" \/>        <\/div>\n        <div class=\"bg-img lozad hover\">\n            <img width=\"290\" height=\"190\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" sizes=\"(max-width: 290px) 100vw, 290px\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/10\/Yishan-Lee-Informal-Green.png\" \/>        <\/div>\n        <div class=\"info\">\n                    <h3>Yishan Lee<\/h3>\n                <p class=\"job-title\">Managing Director, Regulatory Compliance, Singapore<\/p>\n        <div class=\"border\"><\/div>\n                    <p class=\"location\">Singapore<\/p>\n                <a href=\"#contact-person\" class=\"link link--deepgray email\">\n            Send email        <\/a>\n                    <a href=\"tel:+6569551707\" class=\"link telephone\">\n                +65 6955 1707            <\/a>\n                                    <div class=\"socials\">\n                <a href=\"https:\/\/www.linkedin.com\/in\/yishan-lee-a1429222\/\" class=\"linkedin\">\n                    <span class=\"screen-reader-text\">LinkedIn<\/span>\n                <\/a>\n            <\/div>\n            <\/div>\n<\/div><div class=\"person-card\">\n            <div class=\"bg-img lozad normal\">\n            <img width=\"290\" height=\"190\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" sizes=\"(max-width: 290px) 100vw, 290px\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/02\/Clare-Chang-Formal-Grey-2024.png\" \/>        <\/div>\n        <div class=\"bg-img lozad hover\">\n            <img width=\"290\" height=\"190\" class=\"attachment-person_card size-person_card lozad\" alt=\"\" sizes=\"(max-width: 290px) 100vw, 290px\" data-src=\"https:\/\/iqeq.com\/wp-content\/uploads\/2023\/02\/Clare-Chang-Informal-Green-2024.png\" \/>        <\/div>\n        <div class=\"info\">\n                    <h3>Clare Chang<\/h3>\n                <p class=\"job-title\">Managing Director, Greater China<\/p>\n        <div class=\"border\"><\/div>\n                    <p class=\"location\">Hong Kong<\/p>\n                <a href=\"#contact-person\" class=\"link link--deepgray email\">\n            Send email        <\/a>\n                    <a href=\"tel:+85231800497\" class=\"link telephone\">\n                +852 3180 0497            <\/a>\n                                    <div class=\"socials\">\n                <a href=\"https:\/\/www.linkedin.com\/in\/clare-chang-8b382a43\/\" class=\"linkedin\">\n                    <span class=\"screen-reader-text\">LinkedIn<\/span>\n                <\/a>\n            <\/div>\n            <\/div>\n<\/div>        <\/div>\n        <div class=\"button-wrapper\">\n                    <\/div>\n    <\/div>\n<\/section>","protected":false},"excerpt":{"rendered":"","protected":false},"featured_media":0,"parent":0,"menu_order":0,"template":"","expertise":[444],"service_category":[29],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v22.5 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Compliance consulting Asia - IQ-EQ<\/title>\n<meta name=\"description\" content=\"IQ-EQ represents the largest independent regulatory compliance firm in Asia-Pacific 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