Hong Kong & Singapore · SFC & MAS Licensed Firms

An experienced eye on your SFC & MAS inspections.

I'm an independent consultant, brought in to review your controls, get your people ready and steer you through the inspection itself. Fifteen years in compliance and more than 50 inspections across Hong Kong (SFC) and Singapore (MAS).

Discreet, hands-on, and run by me personally from start to finish.

15+
Years in SFC & MAS compliance
50+
Inspections & mock inspections led
2
Regulators: SFC (HK) & MAS (SG)
100%
Principal-led, confidential delivery
Built for
  • SFC Licensed Corporations (HK)
  • MAS / CMS Licensed Firms (SG)
  • Asset & Fund Managers
  • Securities Dealers & Brokers
Core Services

Three ways I keep you inspection-ready.

Three engagements, each shaped around how the SFC and MAS actually run an inspection. I scope every one to your licence type and your business, and I run it myself from start to finish.

Support through the inspection

Inspection Support

From the day the notification letter lands to the day the findings are closed, I'm alongside you, so the visit is handled properly and nothing catches you out.

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A full dress rehearsal

Mock Inspections

A proper dry run of a real SFC or MAS visit: document review, file testing, live interviews. You get a straight, prioritised list of what I found and what to fix first.

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An early, independent check

Compliance Health Checks

An independent look at the controls the SFC and MAS care about, while there's still time to fix what's weak before anyone is at the door.

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Where Inspections Focus

I look where the regulators are actually looking.

Inspection findings land in the same handful of places year after year, and the SFC and MAS mostly overlap. I build each review around what they're flagging right now, straight from their current circulars and guidance.

  1. Conflicts of Interest

    Identification, disclosure and management across funds, accounts and cross-trades — a standing regulatory priority.

  2. Risk Management & Mandate

    Investment-within-mandate controls, limit monitoring and evidence that risk frameworks actually operate.

  3. Valuation Methodologies

    Illiquid and impaired assets, independent pricing and consistency — a recurring source of enforcement.

  4. AML / CFT & CDD

    Customer due diligence, ongoing monitoring and transaction screening that stands up under testing.

  5. Capital & Financial Resources

    FRR (SFC) and base / risk-based capital (MAS): monitoring, segregation of duties and timely, reconciled reporting.

  6. Internal Controls & Audit Trail

    Management supervision, segregation of duties and a defensible record the inspectors can follow.

The Engagement

A clear path from exposed to inspection-ready.

Tight, hands-on, and confidential from the first call to the closed findings.

  1. Scope & Risk Map

    I profile your licence type, your business and your history to find where the real risk sits.

  2. Test & Interview

    Document review, file sampling and live interviews, run the way the regulator runs them.

  3. Findings & Priorities

    A frank, risk-rated report that separates the must-fix from the nice-to-have, with clear ownership.

  4. Remediate & Rehearse

    I help you close the gaps and put your team through the questions, so they are steady on the day.

Why Global Compliance Edge

Someone in your corner who has done this before.

  1. Built on real inspections

    More than 50 inspections and mock inspections sit behind the advice you get. It is practical and specific to your firm, not theory.

  2. You deal with me directly

    I am on every file myself. Nothing is handed to a junior, and nothing comes off a template.

  3. Current with both regulators

    I keep up with the SFC's circulars and MAS's guidance, so your review reflects what they are focused on this year.

  4. Discreet by default

    What we find stays between us. Confidentiality is the default on every engagement.

"Most of an inspection is decided long before the regulator turns up. My job is making sure the files, the controls and the people can handle the questions that actually come."

Lachlan Chubb · Global Compliance Edge

SFC & MAS Inspection Specialist · HK & Singapore
15+
Years front-line experience
50+
Inspections navigated
SFC · MAS
Regulators covered
100%
Confidential, principal-led
Who We Work With

Working with the licences regulators focus on most.

SFC Type 9 · MAS CMS (Fund Management)

Asset & Fund Managers

Private funds and discretionary accounts sit right at the centre of what both regulators look at. I go through conflicts, valuation, within-mandate risk and the controls behind them, before the SFC or MAS does.

SFC Type 1 / 2 · MAS CMS (Dealing)

Securities Dealers & Brokers

From client-asset handling and order management to capital adequacy and AML, I work through the controls and records that inspectors look at hardest in dealing firms.

Inspection On The Horizon?

Know where you stand, well before the regulator does.

The easiest place to start is a private conversation about where you stand and what I would actually do for you.

From The Blog

Compliance Briefings

Monthly round-ups and briefings on what the SFC, MAS and ASIC are doing, and what it means for licensed firms.