CMSL Fund Management Compliance Checklist
Regulatory compliance is critical for licensed fund managers operating under a Capital Markets Services Licence (CMSL) for Accredited/Institutional Investors. To help firms stay on top of their obligations, our compliance experts created a Compliance Health Checklist, highlighting key areas where firms often need enhancements.
Is your firm fully compliant?
This high-level checklist helps assess your firm’s compliance framework, identifying gaps in policies, procedures, and controls. If any areas need improvement, now may be the time to review and strengthen your compliance approach.
Waystone’s CMSL Fund Management Compliance Checklist offers an overview of the following key areas:
- Regulatory obligations: Key reporting, governance and licensing requirements under MAS regulations.
- Risk & compliance framework: Internal controls, breaches management and financial crime prevention.
- Operational readiness: AML/CFT measures, outsourcing due diligence, data protection, and business continuity planning.
- Governance & accountability: Individual accountability, audit considerations and board oversight.
Download the complete guide now
Our comprehensive guide simplifies key regulatory obligations, risk management practices and governance frameworks to help your firm stay compliant and operationally resilient.
How can Waystone help?
Waystone is a leading global provider of institutional governance, administration, risk, and compliance services to the asset management and financial services industry. Our global Compliance Solutions team helps clients navigate the regulatory landscape with confidence, aligning investment strategies and operational processes with compliance requirements. With over 100 compliance specialists based across Asia, the Middle East, Europe, and North America, we offer a comprehensive range of solutions, from company registration and licensing to compliance programmes and ongoing support.
In Singapore and Hong Kong, Waystone brings over 20 years of experience, working with clients regulated by the Monetary Authority of Singapore and the Securities and Futures Commission. Our team is well -equipped to provide bespoke, risk-focused, and cost-effective solutions. With extensive experience, we deliver the expertise you need while adding value to your corporate governance standards.
If you would like to discuss the themes raised in this guide with one of our APAC Compliance Solutions team members and learn how we can assist you, please contact us using the details below.