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With increasing regulatory changes, both regionally and globally, compliance is becoming a key part of corporate agendas across Asia.
To address this need, Jane McBride, head of the Licensing, Compliance & Regulatory Team, recently held a series of seminars updating clients on SFC licensing and compliance and covering regulatory compliance.
The informative presentations covered the new SFC approach to compliance, the professional investor regime, SFC enforcement, insider and personal account dealing, capital raising and investment decisions. An update was also provided on the new OTC derivatives regime.
The seminar series attracted over 240 attendees including senior executives from investment management firms, banks and other key industry players.
Jane commented, “Our team is focused on a productive dialogue with our clients as we work collaboratively to ensure effective compliance and risk management practices.”
This seminar series continues Deacons’ commitment to supporting industry compliance through conferences, seminars and regular guidance.
Please click here to download a copy of the presentation on General SFC Licensing and compliance updates.
Please click here to download a copy of the presentation on Regulatory compliance update for asset managers.
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