Compliance Checks

This page expands the compliance checks focus within the Service Channels framework for DRKB Capitals SPC.

Compliance Checks

Compliance Checks is a service channel that coordinates sponsors, SSP, and advisors around SPC mandates. Under QFC rules, SPCs may carry out Special Purpose Company Activities such as acquiring, holding, and disposing of assets, subject to their licence. Changes in directors, SSP, or registered office require timely notice to the QFC authorities.

Explain the communications and approvals covered by Compliance Checks.
Confirm the evidence trail and logs required for Compliance Checks.
List the handoffs created by Compliance Checks across teams.

Scope and application

This section records the operational checklist attached to Compliance Checks.

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