Regulatory Advisory Services
For Fund and Corporate Clients, our regulatory advisory services are tailored according to your entities’ scale and needs
BVI / Cayman Funds & Managers
Investor Services
- Screening of investors
- Onboarding of investors
- KYC collection, storage and maintenance
- Periodic reviews
- Verification of legal documentation against KYC
AML Services
Marbury is able to provide the following AML appointments and services:
- Money Laundering Reporting Officer (MLRO)
- Deputy MLRO (DMLRO)
- Preparation and maintenance of specific AML Registers
- Tailored compliance manuals and framework support
- Training on AML procedures (internal and external)
- Management of suspicious activity reporting process
AEOI – FATCA & CRS
- Entity classification and Self-Certification
- Application for a Global Intermediary Identification Number (GIIN)
- Designated Principal Point of Contact (PPOC) appointment (for communications with the Cayman Islands Tax Information Authority (TIA))
- Designated Primary User appointment (for communications with the BVI International Tax Authority (ITA) via the Financial Account Reporting System (FARS))
- Designated Point of Contact (POC) appointment (with the US Internal Revenue Service (IRS)) for FATCA compliance purposes
- CRS Notification with the relevant tax authority
- Annual CRS and FATCA reporting
- Completion of the CRS Compliance form where applicable
- Drafting or reviewing AEOI policies and procedures and assist with the implementation of a manual where relevant
- Reviewing self-certification forms, sponsored entity agreements and delegation agreements
- Periodic reviews of the CRS FATCA documentation held on file
- For sponsoring entities – taking responsibility for FATCA compliance on behalf of the sponsoring entity client, including performing all initial and ongoing due diligence to identify any reportable accounts, GIIN registration and reporting where applicable
>>See our Overview of CRS & FATCA for more details
Compliance calendaring
- Timeline of regulatory obligations for the year ahead
- Assistance with adhering to regulatory deadlines
- Assistance with filings subject to scope
- Reminders of upcoming requirements and deadlines
BVI Approved Managers (BVI FSC)
- Internal AML Training
- Assisting with policies and procedures / customising compliance manuals
- Provision of MLRO
- Ongoing licensing assistance
- CRS / FATCA assistance
- Establishment of a direct line of communication with employees for suspicious transaction reporting
- Assistance with the AML/CFT returns
Cayman Registered Managers (CIMA)
- Internal AML training
- Assisting with policies and procedures / customising compliance manuals
- Provision of MLRO
- Ongoing licensing assistance
- CRS / FATCA assistance
- Establishment of a direct line of communication with employees for suspicious transaction reporting
- Assistance with annual regulatory filings
Corporate entities
Marbury’s Regulatory Advisory team can provide a suite of compliance services to corporate entities (including non-regulated entities) across various jurisdictions and according to your business’s scale and other needs.
Such services would include regulatory advisory services, economic substance advisory/classification services, corporate governance services, compliance training, customising compliance manuals etc
Compliance Solutions
Compliance solutions according to your company’s business scale and other needs, including:
- Screening of Directors / Shareholders and Ultimate Beneficial Owners
- Onboarding of Directors / Shareholders and Ultimate Beneficial Owners
- KYC collection, storage and maintenance
- Compliance with the relevant legislation for obtaining KYC
- Periodic reviews
- Assisting with policies and procedures, and the production of compliance manuals
- Compliance calendaring
- Certification of KYC documents (with virtual certification services available for existing clients)
Have questions? Drop us a line below
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