Our Regulatory and Fiduciary focus
Our culture of compliance starts at the top with a very strong focus from the CEO, board of directors and all department heads. Licensed and regulated in multiple jurisdictions, we are fully compliant with MAS, FSA, SFC, ASIC and SEC rules and regulations. We treat our singular focus on compliance as a significant competitive advantage vs smaller less institutional and fiduciary focused platforms.
1. Governance and Compliance
Gordian Capital places a strong focus on regulations, corporate governance and risk management. We take the licensing regime under which we operate and our obligations very seriously.
2. Ethical Business Alignment
We take an ethical approach to the way we conduct business and align our business goals with those of our clients including Portfolio Managers, investors, corporate or families.
3. Transparency and Accountability
Our firm is suitably structured to effect good corporate governance and we have reporting systems structured to provide transparency and accountability for our clients and regulators.
4. Robust Risk Management
Our risk management process starts with the integrity of our Portfolio Managers and professional counterparties. We only engage and work with reputable counterparties, leading institutional investors and experienced Portfolio Managers.
Strong culture of and focus on compliance
The licensing and reporting requirements that asset managers and other financial industry participants must meet have dramatically increased globally over the last decade and continue unabated. Singapore’s regulator, the Monetary Authority of Singapore (“MAS”) is widely recognised as a regulator that sets a very high bar in Asia for fund management and other licensed or regulated activities.
Gordian Capital takes the licensing regime under which we operate and our obligations very seriously and have developed a strong culture of compliance. Our Compliance Manager who heads an internal compliance team, reports directly to the Board of Directors. As such, he is empowered with the necessary authority required to conduct and maintain a focused, professional compliance program. The compliance function is closely aligned with the business and operational heads and is a core part of the business decision process. It is further supported by our In House counsel, a former fund formation and regulatory lawyer.
The Administrator of each fund performs KYC/AML checks on every potential investor. In addition, Gordian Capital performs its own in-house detailed KYC/AML review. On a scheduled basis our internal compliance team perform a full KYC/AML check and conducts a tax risk assessment on all investors. All our investment professionals in Singapore are individually registered with the MAS, and undergo an annual Fit and Proper review. They along with all our core client-facing staff undergo various compliance training annually.
Gordian Capital, as a group are required to meet multiple rules, regulations and guidelines imposed by Singapore MAS, US SEC, Hong Kong SFC, Japan FSA, China CSRC, India SEBI, Australia ASIC and Ireland CBI. All these serve to create a very strong focus on compliance and ethics which benefits our clients.
Multijurisdictional regulatory registration and licensing equips us with deep single country and cross border expertise
Gordian Capital Singapore Private Limited
Capital Markets Service license holder for fund management for Accredited and Institutional Investors - MAS
Registered Investment Adviser – US SEC
QFII - China CSRC
Category I FPI – SEBI India
Gordian Capital Japan Limited
Full Discretionary Investment Management license – Japan FSA
Registered Investment Adviser – US SEC
Gordian Capital Hong Kong Limited
Type 9 (Asset Management) and Type 4 (Advising on Securities) licenses – Hong Kong SFC
Gordian Capital Australia Pty Ltd
Authorized Corporate Representative under an AFSL – Australia ASIC