ABOUT REG
REG Group - which includes REG Compliance & Advisory Services Limited, REG CPA Limited and REG Advisory Limited - is a comprehensive professional services firm. Backed by a team of seasoned industry experts, we are dedicated to providing tailored advisory, compliance, accounting, and audit solutions for listed companies, SMEs, and multinational organizations. We are not just your service provider, we are your strategic business partner.
SERVICES
Internal Audit & Compliance Review
We provide objective, risk-based evaluations of internal control environments to identify operational gaps, mitigate supervisory risks, and optimize institutional governance.
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Risk-based internal audit planning
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Review of internal policies and procedures
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Risk Management Policy and Process Assessment
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Suggestions and solutions to address identified internal control gaps
SFC Investigation & Consulting Services
We deliver technical counsel and strategic protocols to manage regulatory scrutiny, routine examinations, and thematic enforcement investigations.
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Assistance in responding to SFC inquiries and notices
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Review the documents responding to regulatory inspections
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Mock SFC inspections to ensure readiness
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Lookback reviews on historical accounts to detect and remediate compliance failures
Monthly Compliance Consulting
We provide continuous, proactive compliance monitoring frameworks to support operational continuity and secure alignment with shifting regulatory updates.
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Provide continuous monitoring to safeguard the institution against regulatory updates and statutory submission lapses
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Regular updates on changes in the policies and regulations
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Review of marketing materials and client onboarding documents
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Ad-hoc compliance advice for daily operations
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Draft standard documentation for operational workflows, such as client onboarding
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Review Financial Resources Return (FRR) and Business & Risk Management Questionnaire (BRMQ)
Compliance Training
We design and execute targeted professional training frameworks to translate statutory enforcement trends into operational frontline risk controls.
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Empower staff with the knowledge updating to general staff or specifically to compliance staff to update them with the latest regulatory knowledge and requirements
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Customized CPT/CPD seminars
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Anti-Money Laundering (AML), Counter-Terrorist Financing (CTF) and Know Your Client (KYC) training
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Develop customized regulatory training programs to address institutional needs
Monthly Accounting & Annual Audit Services
We manage full-cycle corporate financial reporting and coordinate independent assurance workflows to guarantee compliance with regional accounting standards.
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Ensuring financial transparency and statutory compliance
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Maintenance of accounting books and records
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Preparation of Financial Resources Rules (FRR) returns (for SFC licensed firms)
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Coordination and execution of statutory annual audits
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Preparing and filing corporate tax returns
SFC Licensing
We manage the application for SFC and other regional regulatory licenses to secure seamless market entry.
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Assessing qualifications and review CV for RO
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Improving corporate structure and business plan
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Preparing and submit licensing applications
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Negotiating licensing conditions
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Preparing compliance manuals and other necessary documents for license application
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Mock assessment
ESG & Sustainability Risk Advisory
We design environmental, social, and governance frameworks that translate regulatory sustainability mandates into measurable corporate performance indicators.
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ESG Policy and strategy consulting
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Governance advisory for building governance framework
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Regulatory compliance with SFC Climate-related risks disclosure and management requirements under the SFC Fund Manager Code of Conduct
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Training staff, boards, senior management teams and compliance team
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Reporting services
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Designing and reviewing ESG related risk framework and risk matrix
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Evaluating compliance with related policy
Virtual Assets Compliance Advisory Services
We engineer technical compliance architectures for virtual asset ecosystems, algorithmic trading platforms, and highly automated financial technology models.
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Applying for SFC licenses/VASP license/MSO license etc.
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Advising on blockchain and cryptocurrency related initiatives
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Artificial Intelligence related compliance advisory
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Licensing and corporate governance and compliance structure for fintech companies
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Data Privacy Compliance
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Cybersecurity policies and procedures
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Non-face-to-face clients onboarding and account opening issues and conducting related documentation reviews
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Electronic and Algorithmic trading compliance and risk control