Primus Compliance

Primus Compliance Group offers expert compliance advice in all market segments from wholesale or institutional, to high networth and retail. Our work encompasses strategic and tactical issues, from setting up a compliance strategy or framework, advising on corporate governance and risk management, to licensing applications, drafting policies, procedures and manuals, and dealing with regulatory inquiries.

Compliance Consulting

We advise on all aspects of financial institutions' business activities and processes from front office (e.g. origination, distribution, research, sales and trading) to support areas (e.g. client onboarding, compliance, trade surveillance, trade capture and processing, clearing and settlement) as an external advisor/consultant or expert witness.

Licensing and Regulatory Interactions

Primus Compliance will effectively guide and work with you in all your license applications and responses to regulatory inquiries.

Audits

We also conduct comprehensive or thematic business or desk reviews, investigations and mock regulatory audit reviews in preparation for regulatory visits.

Compliance Training

We provide general and targeted topical compliance training, including programmes approved under the Singapore Institute of Banking and Finance’s Financial Training Scheme. Our training programmes are designed to help you understand and fulfil your regulatory obligations.

Compliance Resourcing

We provide short-term compliance coverage and resourcing for all levels including senior management roles. With our team’s experience, we are able to step into the role quickly, minimise department “down time” and effectively perform the compliance function.