About Us

Ina Mackinnon

The firm is led by Ina, ICA accredited in Singapore, capitalizing on her knowledge of Singapore regulatory regime, complimented with extensive and diverse professional experience in UK and Australia.

Ina is the driving force behind creative solutions for its clients assuring a high level of unparalleled standard in servicing with an uncompromised perfection, keeping business models compliant with relevant and all-inclusive sector relevant rules and regulations.

 DESIGNED TO TAKE THE COMPLEXITY AWAY

  • Expertise in new regulatory compliance initiatives and Change Management
  • Customised services to registered and licensed capital market participants including OTC market operators and intermediaries holding
    • Capital Markets Services License (CMSL) and CMS license registered under Boutique Corporate Finance Advisor Scheme (BCF)
    • Financial Advisers License and
    • Licensed and registered Fund Management Companies (LFMC and RFMC)
  • Strong experience in Conduct Risk, AML/CFT surveillance and monitoring, customer and third-party Due Diligence and Know Your Customer processes.
  • Comprehensive compliance tools for running a successful and regulatory compliant business, including financial institutions Compliance Manual inclusive of adequate and relevant Policies and Procedures, design and effective implementation of risk controls framework to minimise corporate regulatory exposure in various jurisdictions.
  • Application for MAS Capital Markets Services License. Starting with a practical advise on corporate structuring all the way through to the grant of a license allowing financial institutions to engage in regulated activities, as defined under Singapore Securities and Futures Act.
  • We look after your ongoing requirements, assess your compliance programmes offering a comprehensive gap analysis, complete with solutions and controls to minimize the risks.
  • Focused Compliance Training of your front and back office, promoting an ethical culture of compliance.
  • With Alba’s Global Network you have access to ASIC and FCA regimes, Australian and UK leading local experts.
compliance Outsourcing

Why Us

 Financial institutions of different sizes outsource AlbaMD to ensure everyday compliance

 You are considering applying for MAS, FCA or ASIC license

 You might need clarification in reporting obligations, its format and time frame.

 Client Categorisation incl new OptIn/OptOut Regime which offers extended safeguards to your accredited investors, requiring you to adjust your policies and procedures, directly impacting on business you are permitted to take on.

 You require templates, forms designed in accordance to your business specifics.

 Any other specific Compliance implications on your overall business model and any exemptions your business might be eligible to.

 Compliance executives may need up to date international expertise on regulatory mandate for financial entities in Singapore.

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