Maurice Yap

Maurice has more than 10 years’ experience in the financial services industry including consulting firms with special focus on regulatory compliance, AML/CFT and due diligence.

He has assisted numerous clients in the application of CMS License or RFMC, drafting of Risk Management Framework, Compliance Manuals, and other policies and procedures, communication with MAS, updating on MAS related regulatory changes, conducting internal audit and/or MAS mock inspections.

In addition, Maurice has also been involved in several secondment engagements during his tenure in the consulting space which provided a wider and in-depth exposure within the inner workings of an FMC.

He has conducted and spearheaded several compliance initiatives such as AML related review and assessments as well as providing tailor-made training, including but not limited to AML/CFT and Sanctions, Personal Dealings Rules, Internal Practices and MAS Regulatory Obligations. Maurice is well-versed in the areas of MAS various rules and regulations including the Securities and Futures Act (“SFA”), Financial Advisors Act (“FAA”) and the various Notices, Guidelines and industry practice.

As a lead manager, Maurice has experience in leading, nurturing and training his past team members in order to provide expert solutions to all consulting clients.