Compliance for Fund Management Companies in Singapore
Build a compliance framework that meets MAS expectations and works in practice. We draft the policies, procedures and controls your fund management business needs.
A good fund management compliance framework balances regulatory requirements with how your business actually operates. Generic, off-the-shelf templates rarely hold up during the MAS licensing review. MAS expects policies that reflect your specific AUM, investment strategy and investor profile.
Alder bridges the gap between regulatory theory and daily operations. We build tailored frameworks for Accredited/Institutional LFMCs, Retail LFMCs and Venture Capital Fund Managers (VCFMs) that protect your directors while letting your investment team operate efficiently.
Need to formalise your internal controls?
Book a consultation to discuss drafting or updating your fund's compliance manual.
What Goes Into a Fund Management Framework?
MAS expects a suite of policies tailored to your specific operations under the Securities and Futures Act (SFA).
| Framework Component | What MAS Expects | Alder's Practical Execution |
|---|---|---|
| What MAS ExpectsClear governance covering SFA obligations, licensing conditions and code of conduct. | Alder's Practical ExecutionWe map specific regulatory obligations to designated personnel to ensure accountability. | |
| What MAS ExpectsDocumented methodologies for managing market, credit, liquidity and operational risk. | Alder's Practical ExecutionWe build a framework aligned with your specific portfolio limits and asset classes. | |
| What MAS ExpectsRobust customer due diligence (CDD) and enterprise-wide risk assessments. | Alder's Practical ExecutionWe design onboarding procedures that don't hold up your investor capital calls. | |
| What MAS ExpectsRules addressing cross-trading, fair valuation and personal trading. | Alder's Practical ExecutionWe establish clear staff trading declaration protocols and information barrier procedures. |
Targeted Policy Development
We draft, review and update the policies and procedures your fund management business needs, tailored to how your firm actually operates.
Compliance Manual
We prepare a compliance manual tailored to your regulated activities, business model and operating structure, covering the key MAS requirements applicable to your fund management business.
AML/CFT Framework
We develop your AML/CFT policies and procedures, including customer due diligence, ongoing monitoring, screening, risk assessment and regulatory reporting requirements.
Outsourcing & Service Provider Management
We establish appropriate policies and controls for the assessment, appointment and ongoing oversight of outsourced functions and key service providers.
Risk Management & Business Continuity
We develop proportionate risk management and business continuity frameworks addressing the key investment, operational and technology risks relevant to your business.
Why Generic Templates Fail MAS Review
MAS reviewers are quick to spot "copy-paste" compliance.
A common reason for delayed licensing or failed internal audits is the use of off-the-shelf templates. If your risk management framework sets limits for OTC derivatives but your business plan only mentions long-only equities, MAS will flag the disconnect.
We take time to understand your operations before drafting a single page. By understanding your AUM targets, fund structures (e.g. VCCs) and target investor jurisdictions, we make sure your policies are proportionate, commercially workable and robust under regulatory scrutiny.
