Compliance Committee

Purpose

To lead work on conduct of business and regulatory structure issues – including matters relating to member firm relationships with Asian regulatory authorities and governments – through both direct contact with relevant authorities and oversight of relevant working group activities. Monitors efforts by specialist groups established to address issues that cut across multiple committees. To encourage (i) increased standardisation of regulations and practices in Asia; (ii) intelligent adoption of G20/European/American regulatory standards as appropriate for the region; (iii) harmonization of standards in line with international markets to avoid over regulation; (iv) transparent, fair consultations for adequate periods of time to avoid implementation of inefficient or ineffective laws or regulations; and (v) issuance of proper guidance for the interpretation of rules or regulations in order to avoid uncertainty.

Key Contact(s)
Patrick Pang

Managing Director – Head of  Compliance and Tax

Tel +852 2531 6520
ppang@asifma.org

 

Channette Chan

Associate

Tel +852 2531 6522
cchan@asifma.org

Chair(s)
Aveline San

Managing Director, APAC Chief Compliance Officer, Citi

Vice-Chair(s)
Glenn Southeren

Chief Compliance Officer, Citadel Securities, APAC, Citadel

Working Groups/Sub-Committees
  • Electronic Trading Sub-Committee
  • Investment Banking and Control Room Sub-Committee
  • Monitoring and Surveillance Sub-Committee
  • Singapore Compliance Sub-Committee