The law of governance, risk-management, and compliance is the body of rules, regulations, and best practices that, individually and collectively, are intended to ensure that organizations are managed effectively and in such a way as to enhance social welfare.

--- Geoffrey P. Miller ---The Law of Governance, Risk Management and Compliance.

OUR SOLUTIONS

RockFin builds tailor-made

solutions for companies to enable

their COMPLIANCE, LEGAL AND

CONSULTANCY teams to be more

efficient and achieve cost-effective

solutions. Our clients range from

global financial services institutions,

multi-national corporations (MNCs),

small & medium enterprises (SMEs),

start-ups, among others.

Shaheen currently holds the position of Director and

Chief Executive Officer at RockFin Compliance Services

Limited. Shaheen has been working in the Global Business

sector for more than 15 years with leading management

companies. Over the years, she has gained much

experience in, structuring and administration, compliance

and legal matters and has strengthened her interpersonal,

client and people relationship management skills amongst

others. Shaheen is specialised in compliance issues and

also serves as Money Laundering Reporting Officer (MLRO)

or Alternate MLRO for certain activity licensed companies.

Mrs. Carrim holds a Diplome d’Etudes Supérieures

Spécialisées in Notarial Law – equivalent to Post Graduate,

and has completed her Licence de Droit – equivalent to

LLB and her Maitrise de Droit – equivalent to an LLM in

2002 and 2003 respectively.

Mrs Shaheen Abdul CarrimDIRECTOR

How we canhelp your business?

RockFin professionals understand the challenging business and demanding regulatory environments in Mauritius.

Our Compliance and Legal Services are well customised to suit each

client’s ever evolving needs.

OUR SERVICES

Compliance

Legal

Consultancy Our team is made up of high-caliber experts including compliance specialists and a panel of lawyers, comprised of qualified barristers

and attorneys all of whom are here to ensure the highest standard of professional assistance to our clients.

Our Compliance Services

Client Acceptance & Onboarding exercise

Carrying out due diligence exercise on individual/entity

Ensuring the completeness of due diligence documents provided

Generating KYC search and reports and verifications in line with the UN sanction list, OFAC and FATF

Client risk assessment

Identification of source of funds/wealth

Enhancing due diligence in case of high risk client

On-Go ing Monitoring

Compliance review of client files

Transaction monitoring

Risk management & assessment

Ensuring compliance with statutory filing requirements

Regular checks (such as World check and Independent check)

Liaising with authorities

Assisting for suspicious transaction reporting

Our Legal Services

Contract drafting, analysis, preparation, review, and/or negotiation, includ ing:

Sale and Purchase Agreements

Memorandums of Understanding

Non-Disclosure Agreements

Loan & Supply Agreements

Shareholders’ Agreement

Share Purchase Agreements

And any other Contract that may be required by the client in relation to its business

Drafting and preparation of legal opinions on any legal subject required by the client

Legal advice on corporate matters including:

Mergers, Acquisitions and Affiliations

Joint venture arrangements

Corporate by laws

Corporate restructuring

Our Legal Services

Legal a dvice during restructuring and termination processes including:

On cross-border restructuring programs

Complex individual dismissals

Documenting and negotiation settlements

Legal a dvice on employment matters, including:

Drafting, review and negotiation of employment contracts

Ensuring compliance with local employment laws and regulations

Advising on global employment policies

Structuring and documenting international assignments

Employee transfer or dismissal

Representation and assistance in labour disputes, including in disciplinary procedures and liaising with the relevant local authorities

Chairing of disciplinary committees

Legal assistance on other administrative, regulatory, contractual or commercial issues and on ongoing legal proceedings

Our Legal Services

Legal a dvice on Tax related matters including:

Mitigating excessive Tax exposure

Multi-jurisdictional transactions and reorganisations

Merger and acquisition transactions and restructurings

Tax-driven investment schemes and Tax optimised exit schemes

VAT and Tax litigation

Intellec tual property:

Intellectual Property Services including trademark registration in Mauritius

Legal as sistance to Foreign Nationals:

Assistance in acquiring property in Mauritius, including applying for the relevant permits and reviewing of relevant documents

Assistance while requesting financing with local banks and acting as legal representative

Assistance for doing business in Mauritius including applying for relevant permits and licenses

Assistance in applying for visa, occupation and residence permits, and for Mauritian citizenship

Our Consultancy Services

Implement and review policies/procedure and control to ensure that clients are in compliance with all relevant law, rules, regulation, code and guidelines

Implement risk management and compliance framework

Implement and review clients’ onboarding process / CAP process

Preparing and assisting for regulatory visit

Recommendation for improvement of clients’ compliance & control framework

Drafting of compliance manual

AML policies & procedures

Risk-based monitoring program

Business continuity plan

Audit

Training

FATCA/CRS – XML conversion

Ethics is knowing the difference between what you have a right to do and what is right to do.

--- Petter Stewart ---

WHY INSTRUCT US?

We handle complex transactional matters

We have international reach with a local presence

We always look at the bigger picture

We keep abreast of the fast-dynamic legal environment so that we can provide up to date support and value-added solutions to our clients

The information contained herein is of a general nature and is not intended to address the circumstances of any particular individual or entity. Although we endeavor to provide accurate and timely information, there can be no guarantee that such information is accurate as of the date it is received or that it will continue to be accurate in the future. No one should act on such information without appropriate professional advice after a thorough examination of the particular situation.

OUR TEAMMR. BEELAL BAICHOO, ConsultantBeelal is a Fellow Member of ACCA (FCCA) and holds a Degree in Accounting from the University of Mauritius. He has more than 16 years of professional experience in the financial services sector in Mauritius. He has been in the compliance field since 2003 and has worked with a Mauritian financial-services regulator for several years. He has evolved with leading companies in Mauritius, in fields such Non-Bank Financial Services, Global Business, Tax transparency (FATCA/CRS) and the Banking sector. In his career development, Beelal has had intensive exposure, in terms of experience and local/international training, to AML/CFT matters. He is well-versed in the application of AML/CFT rules to

different types of corporate vehicles.

MS. POOJA LUCHMUN, BarristerPooja is the holder of an LLb with Honours from Middlesex University. She was thereafter admitted to the Bar of England and Wales at the Honourable Society of the Middle Temple in 2015 after having successfully completed her Bar Professional Training Course at the University of the West of England, Bristol. She was later called to the Bar of the Republic of Mauritius in 2016 and has been practising in Mauritius for more than 3 years. Pooja’s legal practice covers various fields ranging from Employment Law and Contractual law to Corporate and Commercial Law. She regularly engages in court litigation and provides representation before the various Tribunals and Committees. She also provides legal assistance and representation in disciplinary committees, mediations, and such other committees. Pooja further provides legal advice to local Non-For-Profit organisations and associations.

Contact us for more information:

Hotel Avenue, Level 3 Ebene House, Cybercity, Ebene, 72201, Republic of Mauritius

M: (+230) 5259 7964 | O: (+230) 468 7332

E: compliance@rockfin.mu | sabdulcarrim@rockfin.mu