FINANCIAL REGULATORY INVESTIGATION
AFS Singapore offers Senior Paralegal Services to assist administratively public companies, Financial Institutions and Designated Non-Financial Business and Professionals (“DNFBPs”) such as corporate service providers, accountants, lawyers, estate agents, trust companies, pawnbrokers, dealers in precious metals, or casinos in any one of the following situations:
- The regulator has served with a notice of investigation for statutory violation or non-compliance of a statute or regulation.
- Being a public company; the regulator has served with a notice of private investigation from a securities and exchange commission for violation or breach of securities law or securities regulation.
- Being a financial institution, the regulator has served with a notice of non-compliance or has violated or breached a provision of the banking law, regulation or guidance notice.
- The company, financial institution or organisation has failed to comply with AML/CFT CDD measures or non-compliance with AML/CFT standards, measures or rules.
Please download our FINANCIAL REGULATORY INVESTIGATION ASSESSMENT FORMS (choose the form that suits you):
Click here for form AFSSIN/FRI/PRE if you have received a Notice or an Order from a Financial Regulatory Authority.
Click here for form AFSSIN/FRI/POST if you are in the process of responding to a Financial Regulatory Authority Notice, Order, Subpoena or Summon.