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 successful fund management compliance framework balances strict regulatory adherence with commercial operational reality. The Monetary Authority of Singapore (MAS) immediately rejects generic, off-the-shelf templates during the licensing phase. They expect a bespoke manual that directly reflects your specific AUM, investment strategy, and investor risk 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 enabling your investment team to execute efficiently.
Need to formalize your internal controls?
Book a consultation to discuss drafting or upgrading your fund's compliance manual.
What Goes Into a Fund Management Framework?
MAS requires a comprehensive suite of policies tailored to your specific operations under the Securities and Futures Act (SFA).
| Framework Component | What MAS Expects | Alder's Practical Execution |
|---|---|---|
| Clear governance covering SFA obligations, licensing conditions, and code of conduct. | We map specific regulatory obligations to designated personnel to ensure accountability. | |
| Documented methodologies for managing market, credit, liquidity, and operational risk. | We construct a framework that aligns with your specific portfolio limits and asset classes. | |
| Strict Customer Due Diligence (CDD) and enterprise-wide risk assessments. | We integrate onboarding workflows that don't bottleneck your investor capital calls. | |
| Rules preventing cross-trading abuses, fair valuation issues, and personal trading violations. | We establish clear staff trading declaration protocols and Chinese wall procedures. |
Targeted Policy Development
We do more than just write manuals. We construct the operational architecture that proves to MAS you are in full control of your fund.
Core Compliance Manuals
Base GovernanceYour primary manual dictates how your firm operates legally. We draft rules covering representative licensing, code of conduct, record-keeping, and the handling of client money and assets under the SFA.
Compliance Monitoring Programme
The CMPA policy is only useful if it is enforced. We build your annual Compliance Monitoring Programme (CMP), detailing the exact testing frequency, methodology, and reporting lines required by the board of directors.
Outsourcing & Vendor Management
MAS heavily scrutinizes how funds use third-party administrators or cloud providers. We draft rigorous outsourcing policies and due diligence registers to ensure your critical vendors meet MAS expectations.
Technology Risk & BCP
We align your IT security controls with MAS Technology Risk Management (TRM) Guidelines and draft actionable Business Continuity Plans (BCP) so your fund can survive severe operational disruptions.
Why Generic Templates Fail MAS Review
MAS reviewers are experts at identifying "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 details limits for OTC derivatives, but your business plan only mentions long-only equities, MAS will flag the disconnect immediately.
We conduct a deep-dive operational discovery before drafting a single page. By understanding your specific AUM targets, fund structures (e.g., VCCs), and target investor jurisdictions, we ensure your policies are proportionate, commercially viable, and bulletproof under regulatory scrutiny.
