Mock Inspections
Prepare today, succeed tomorrow.
What this engagement is for.
A mock inspection is the closest thing to the real visit, run before the regulator ever arrives. I recreate the way the SFC and MAS actually inspect — document review, file testing and live interviews — so you find the gaps while there is still time to fix them, and walk in knowing exactly where you stand.
Authentic simulation
I recreate the regulator's inspection process end to end, giving you a realistic appraisal of your compliance framework rather than a checklist.
Discrepancy detection
I surface the divergences and weak controls an inspector would flag, so nothing is a surprise on the day.
Remediation & advancement
Findings come with a prioritised path to fix them, preparing your firm for this inspection and the next.
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.
Documentary review
A thorough audit of your compliance documents, policies and procedures against the latest SFC and MAS expectations.
Senior staff interviews
Key personnel are interviewed on how they understand and apply compliance, their business lines, risk management and the investment decision process.
Trade & file sampling
An in-depth look at trades and client files over a representative window, testing alignment with mandate and surfacing where practice drifts from policy.
Personal account dealing
A review of personal-account dealing to check conflicts of interest are identified, disclosed and managed the way the regulator expects.
Training & CPT registers
Continuous-training records are checked against the mandated hours, so a simple administrative gap never becomes a finding.
Risk-rated report
A frank, prioritised report separating the must-fix from the nice-to-have, each item with a clear owner and a route to closed.
The difference it makes.
By rehearsing the inspection before it happens, you reduce risk and build real compliance muscle — the kind that holds up under questioning, not just on paper.
It is a proactive move for any firm that wants to meet regulatory scrutiny with confidence rather than scramble to catch up once the notification letter lands.
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