Securities Futures Act (SFA) Internal Audit Services in Singapore
Our Focus
For MAS-regulated capital markets and investment firms in Singapore, our Securities Futures Act internal audit provides a risk-based review of governance, regulatory compliance, and key internal controls against applicable Monetary Authority of Singapore (MAS) requirements. Coverage includes AML/CFT, investment controls, best execution, operations, conflicts of interest, third-party arrangements, risk management, and business continuity.
Key Responsibilities of a Fund Manager
01Investment Management
Managing investments in accordance with the fund's investment strategy, mandate and applicable investment restrictions.
02Risk Management
Identifying, assessing and managing risks arising from investment activities and fund operations.
03Governance & Oversight
Maintaining appropriate governance, oversight and accountability across the fund management function.
04Regulatory Compliance
Maintaining policies, procedures and controls to meet applicable regulatory requirements.
05Asset & Cash Management
Maintaining appropriate controls over fund assets, cash movements and reconciliations.
06Outsourcing & Third-Party Oversight
Managing and monitoring key service providers and outsourced activities where applicable.
Who We Serve
- Fund Management Companies
- External Asset Managers
- Broker-Dealers
- Other MAS-Regulated Capital Markets Firms
Let's Talk About Your Internal Audit Needs
Outsourced or co-sourced support tailored to your organisation.
Discuss Your Requirements