Compliance Health Checks
Know where you stand, before anyone is at the door.
What this engagement is for.
A health check is an independent look at the controls the SFC and MAS care about most — run while there is still time to fix what is weak. It is the quiet, lower-pressure cousin of a mock inspection: a clear read on your real exposure, without waiting for an inspection to force the question.
Independent perspective
An outside, senior set of eyes on your framework, free of the blind spots that build up inside any firm.
Gap analysis
A structured comparison of your controls and policies against current regulatory expectations, with the gaps named plainly.
Time to fix
Because it runs ahead of any inspection, you find and close issues on your own timeline, not the regulator's.
What's covered, step by step.
Every element is designed around how the SFC and MAS actually review a firm, and scoped to your licence type and business.
Control & policy gap analysis
A review of your control framework and policy suite against what the SFC and MAS expect right now.
Conflicts, valuation & mandate
Testing of the high-priority areas: conflicts of interest, valuation methodology and investment-within-mandate controls.
AML / CDD review
An assessment of customer due diligence, ongoing monitoring and transaction screening against current standards.
Capital & financial resources
A health check on FRR (SFC) and base / risk-based capital (MAS) monitoring, segregation and reporting.
Records & audit trail
A look at whether your supervision and records would let an inspector follow a decision from start to finish.
Prioritised findings
A concise report ranking what to address first, so limited time and budget go where the risk actually is.
The difference it makes.
A health check turns vague unease into a clear, ranked picture of where your firm stands — and what to do about it, in what order.
It is the most cost-effective way to stay ahead of regulatory change and avoid the scramble that comes when issues are found under inspection pressure.
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