Regulatory Liaison

This page expands the regulatory liaison focus within the Governance Charter framework for DRKB Capitals SPC.

Regulatory Liaison

We embed Regulatory Liaison to align credit decisions with QFC governance expectations. QFC SPCs have no minimum share capital and are typically exempt from audited accounts and annual general meetings unless directed otherwise. SPCs must appoint at least one director, a secretary, and a Senior Executive Function (SEF).

Define how Regulatory Liaison is enforced and who owns approvals.
Describe the evidence retained to demonstrate Regulatory Liaison compliance.
Connect Regulatory Liaison to committee reporting and escalation protocols.

Scope and application

Scope clarifies the roles, thresholds, and reporting tied to Regulatory Liaison.

Key requirements

Defined transaction purpose and permitted SPC activities only.
Governance roles including director, secretary, and SEF accountability.
SSP appointment for corporate and administrative services and registered office support.
Documented compliance, collateral controls, and reporting cadence.

Reporting expectations

Mandate reporting cadence, stakeholder access, and escalation protocols are confirmed in advance.

Next step

Request a mandate review and receive a tailored execution plan.

Start Mandate Intake