Compliance Services Provider in Cayman Islands

AFA understands the constantly evolving regulatory environment within the financial services industry, and the need for a robust compliance program. AFA has partnered with an industry leading compliance firm to offer outsourced compliance solutions customized to focus on risk detection for established companies, while designing critical compliance programs for start-up firms.

AFA’s Outsourced Compliance professionals leverage a wide range of industry expertise including top tier banks, broker dealers, prime brokers, hedge funds, and private equity firms. Regulatory compliance services are designed to support Financial Services firms, as well as specific instruments (e.g. equity and debt instruments, options, swaps, futures, and derivatives), as well as providing technology support for vendor systems including various trade management platforms, to ensure internal controls are designed properly to identify regulatory compliance risks.

AFA’s Outsourced Compliance Solutions focus on the following key risk areas:

  • Outsourced Compliance Program
  • Fund Registration and Launch
  • Regulatory Filings – FINRA, NFA, and SEC
  • Regulatory Examination Preparation and Management
  • Audit and Testing
    • Annual Compliance Program Audits
    • Targeted Policy Audits
  • Drafting new policies and/or the revising of existing polices
    • Code of Ethics
    • Compliance Manual
    • Best Execution
    • Pay to Play
    • Business Continuity/Disaster Recovery
  • AML Program Support
  • Email Review and Surveillance
  • Expert Networks Review and Surveillance
  • Personal Trading Surveillance
  • Blue Sky Filings
  • Social Media Concerns
  • IT Cyber Attack Prevention and Testing
  • Best Practice Recommendations