Compliance Committee


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


Judit Lam


Tel +852 2531 6522

Leanne Livingstone

Co-head of Compliance, Conduct and Operational Risk for the Corporate & Investment Bank, Asia Pacific and APAC Head of Markets and Securities Services Compliance, JP Morgan



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