The regulator's rule, the decision, and the proof, in one record.
Attesta runs the everyday compliance controls of a fund manager in Singapore or Hong Kong: staff dealing, conflicts, gifts, fit and proper, KYC, breaches and filings. Every step is timed, approved with a second factor, and written to an audit trail that cannot be quietly changed.
Buy 1,000 BLUECHIP
Personal dealing request · Alex Tan · submitted 10:10
- Restricted and wall-crossing listsclear
- Broker and account approvedCLSA · ACC-0101
- Order value under the limit50,000 < 500,000
then escalates
pad.request_submitteda3f9c2…d81e ← 0000…0000
pad.auto_check_passed7b04e9…19c0 ← a3f9c2…d81e
pad.approved · step-up MFA (totp)e21d70…5a3b ← 7b04e9…19c0
Five areas of daily compliance, each tied to the rule behind it
Each screen shows the acts, notices, codes and guidelines it supports, split into binding requirements and guidance, so a control never floats free of its source.
Staff conduct
Before anyone trades, accepts a gift or takes an outside role.
- Personal dealing. Pre-clearance with automatic checks, holding periods, and contract notes matched as evidence.
- Conflicts. Annual declarations with last year's answers pre-filled, and outside interests scored for materiality.
- Gifts and entertainment. Thresholds by type, approval above them, one register.
People and competence
Who holds which role, and whether they are ready for it.
- Fit and proper. Annual review with declarations, evidence and a decision.
- Training. Hours tracked against the regulator's split, with reminders and escalation.
- Officer register. Appointments, changes and cessations open dated notification tasks; organisation charts saved with a fingerprint.
Financial crime
Know the client, and prove you checked.
- KYC and screening. Sanctions and politically exposed person checks, with a person confirming every possible match.
- Never falsely clear. If a screening service is down, the result says so instead of passing.
- AML governance. Risk assessment and audit cycles with sign-off.
Reporting and registers
The clocks that regulators set, watched for you.
- Misconduct and breaches. Cases start their statutory clock at discovery and open automatically from overdue items.
- Regulatory calendar. Every deadline with a reminder ladder and the filing reference recorded.
- Statutory registers and returns. Company registers and capital-return exports in Singapore; financial resources and annual return deadlines in Hong Kong.
Technology, data and speaking up
The controls examiners ask about second.
- Technology risk. Critical systems, cyber evidence, vendors, continuity tests and incident deadlines.
- Policies. Published to chosen roles, quizzed where the risk is high, with attestation tracked.
- Whistleblowing and complaints. Anonymous or named reports with a status reference; complaint clocks and resolution.
Same control, different regulator
Attesta applies each firm's own regime. Switch the jurisdiction to see how the same feature changes with the rule behind it.
| Control | How Attesta applies it |
|---|
Values are Attesta's starting settings for each jurisdiction. A firm can change them to match its own policies.
Show an examiner how it was decided, not only what was decided
A chained audit trailEvery entry carries a fingerprint of the one before it, so a change or a deletion breaks the chain and shows.
A second factor at the moment of decisionApprovals, dispositions, attestations and overrides ask again, and record the method used.
Documents kept with the recordContract notes, certificates, minutes and filing acknowledgements are stored per firm and linked to what they support.
One place, the right view for each person
Compliance officers
A single inbox of what is urgent, approvals with the checks already run, and the calendar of deadlines.
Portfolio managers and staff
Request, declare and attest on any device, with a clear answer on what is allowed and what is pending.
CEO and company secretary
Escalations and overrides that need a named senior decision, with the reason recorded.
Entity directors
A portal for the entities they sit on, with the filings and meetings that need their confirmation.
Auditors and consultants
Auditors read across the firm. Consultants work across the clients they are allocated to.
What Attesta does, and what it leaves to you
Attesta does
- Turn rules into timed, approved, evidenced workflows.
- Remind, escalate, and open a breach case when a deadline is missed.
- Keep the audit trail and the supporting documents together.
- Show the regulatory basis on each screen.
The firm still does
- Make the decisions, and set thresholds that match its own policies.
- Submit filings to MAS, the SFC and other bodies. Attesta records the reference the firm obtains.
- Interpret a rule where it needs interpreting. Attesta is not legal advice.
Security design has been reviewed against ISO 27001 principles. The product is not certified to that standard.
Walk through a live firm in Singapore or Hong Kong
We will set up your regime, show a request from submission to evidence, and answer what it does not cover. Email us and we will arrange a time.
demo@attestacompliance.xyz