We assist clients to comply effectively and efficiently with fundamental principles of applicable regulatory frameworks.
It is also our fundamental principle to serve our clients holistically and be their trusted compliance expert.
Principium’s mission is to provide relevant and practical compliance solutions to clients.
With an increasingly complex and fast-moving regulatory environment, our client base needs to dedicate time and resources to their regulatory and compliance obligations.The new normal in today’s regulatory environment requires clients to be up-to-date with their regulatory knowledge / consistently translate applicable regulations practically / make judgement calls on regulatory application where permissible.
Principium’s full-suite consulting offering encompasses MAS- related regulatory compliance. We also offer compliance consulting services in relation to certain global regulations, in particular relating to US regulations applicable to investment advisers. From evaluating the start of a regulatory journey to hand-holding clients through that journey, Principium is a steadfast partner.
Specifically, we offer the following services
Assisting clients determine whether they need to be licensed under the relevant regulatory framework and the implications of licensing.
Licensing / Registrations
Assisting clients obtain their licenses / registrations by putting together licensing / registration applications on behalf of clients as well as attending to the follow-up process post-submission.
Policies and Procedures
Assisting clients with the drafting of compliance policies and procedures as well as establishment / implementation of day-to-day compliance programs.
Ongoing compliance consulting
Providing ongoing compliance advice to clients in relation to their day-to-day and ad-hoc compliance requirements.
Conducting project-based compliance consulting which could be generic or thematic for eg: AML / KYC.
Conducting MAS internal audit for clients where required.
Mock audits / reviews
Conducting mock audits, desktop and / or onsite reviews / testing / monitoring in view of potential regulatory audits, investor or self-imposed review requirements.
Know-how and training
Keeping clients up to date with regulatory changes and providing compliance training, both mandatory and optional.