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
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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)
