CP Global Asset Management: MAS licensing for a digital fund manager
The full documentation set for a Singapore fund manager moving from registered to licensed status to launch a robo-advisory platform.
- Client
- CP Global Asset Management Pte. Ltd.
- Service
- Licensing documents
- Period
- Fund licensing engagement
- Review
- Not reviewed publicly
Client documents
Confidential. Not published here; available to prospective clients under NDA.
- NDABusiness plan
- NDACompliance manual
- NDAOperations manual
- NDASupporting policies and appendices
Ask for samples and say which engagement you're interested in.
The brief
CP Global Asset Management was moving from Registered Fund Management Company status to a Capital Markets Services licence from the Monetary Authority of Singapore, with a digital-first robo-advisor as the product. MAS needed to see how the business, the technology and the controls fit together.
What I did
- MAS-facing business plan for a digital fund manager
- Compliance manual covering ethics, AML/CFT, risk management and personal trading
- Operations manual for onboarding, e-KYC, risk profiling, fund flows and redemptions
- Investor agreements, data protection and AML/KYC appendices
- Technology and risk documentation: cybersecurity, disaster recovery, backups and admin-trader workflows
- Rebalancing logic aligned to 29 risk profiles
Frameworks and tools
- MAS CMS licence
- RFMC to LFMC
- AML/CFT
- e-KYC
Outcome
- A policy framework mapped to MAS CMS requirements and prepared for inspection
- Documentation reusable for fundraising and the planned Southeast Asia expansion
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