AMAC recently announced that from 4 May 2018, Fund Practitioners will be able to take the industry’s qualifying examination in English.

Fund Practitioners who intend to take the examination must meet the following criteria:

Must be aged 18 or above, and have no physical or mental impairments that would impede their ability to perform their duties;

Must be a foreigner and a member of Senior Management of either wholly-foreign owned or joint venture Private Fund Managers (including Chairmen, CEOs, GMs, Vice GMs and Investment or Trading Heads, who oversee investments, research and trades). Please note: Compliance and / or Risk Management personnel are required to pass the licensing examination in Chinese;

Foreign Senior Managers must have overseas asset management qualifications or must be registered as CFA members, and have a minimum of 5 years’ experience in overseas asset management;

Foreign Senior Managers from HK & Macau financial institutions can take the English language examinations and apply later for the Fund Practitioners License;

Other conditions may be imposed from time to time by the CSRC & AMAC.

The exam is two hours long, to be completed online, consists of 100 questions and is a closed-book examination.

The applicants must apply online and upload relevant documents

Registration period: 12 – 25 April 2018

Location: Beijing

Registration Fee: RMB 65 (each section)

For more details or how we can help with your training needs please contact us at marketing@complianceasia.com.

The post AMAC announced Fund Practitioners can take qualifying examination in English appeared first on ComplianceAsia.

To read more please visit; http://www.asianinvestor.net/article/asset-management-awards-day-3-the-top-asset-servicers/443793

The post ComplianceAsia recognised and named as the best compliance services provider in 2018 appeared first on ComplianceAsia.

You are invited to our Hong Kong Update Seminar

The Changing Enforcement Landscape in Hong Kong

Regulators globally not just the SFC and HKMA are increasingly take punitive enforcement action to stop bad behaviour in the financial industry by increasing fines and naming and shaming firms and individuals.

Join ComplianceAsia and our panel of internal and external experts at our upcoming breakfast meeting where we will discuss:

• Enforcement trends and actions in Hong Kong
• What the SFC’s new disciplinary guidelines actually mean in practice
• The latest enforcement approach in Singapore with the alliance between the MAS and CAD
• The increasing extra-territorial reach of the US SEC, CTFC and OFAC
• Does the EU have any effective extra-territorial enforcement reach?

Event details

Date: Friday 27th April

Time: 8:15am – 10am

Venue:

The China Club –

13 – 15/F Old Bank of China Building,

Central, Hong Kong

This seminar will count ONE CPT hour. For inquiries, please email marketing@complianceasia.com.

The post ComplianceAsia to host a Q1 CA Breakfast Meeting on April 27 appeared first on ComplianceAsia.

• Practical Implications of the new MAS and CAD joint enforcement activities
• Latest MAS enforcement actions
• The extra-territorial reach of the US SEC, CTFC and OFAC

Event details:
Date: Monday, 23^rd April 2018
Time: 4:15pm – 6:00pm (registration begins at 4:00pm)
Venue: SBFC-Seminar Room 2 and 3, Singapore Business Federation – 160 Robinson Road, #06-01 SBF Center, Singapore 068914.

If you would like to attend, please RSVP by no later than Wednesday, 18 April 2018. For inquiries, please email marketing@complianceasia.com.

The post ComplianceAsia to host a seminar on The Changing Enforcement Landscape in Singapore on April 23 appeared first on ComplianceAsia.

From March 2018, company secretaries, lawyers, accountants and real estate agents must implement anti money laundering and know your client policies. To help this important market segment, we are pleased to announce the launch of AML Services Limited.

AML Services Limited is a collaboration between ComplianceAsia and Suzanne Callister. AML Services can help you with AML policies and procedures, client onboarding documentation, sanction and other client risk based assessments, screening services and training all the way to a fully outsourced client onboarding function, and documentation storage.

We would like to invite you to our official launch party to learn more about our services, and to meet the founders.

Event Details

Thursday 19th April 2018

5pm to 7pm

13 -15/F Old Bank of China Building, Central, Hong Kong

If you are interested in attending, please RSVP to marketing@complianceasia.com

The post ComplianceAsia to co-host AML Services Launch Party on April 19 appeared first on ComplianceAsia.

Topics: Licensing, Responsible Officers and Managers in Charge, Infrastructure and Cybersecurity, Fund Setup, Fund Administrators, PE Issues

Speakers: Alex Duperouzel and Steve Bai from ComplianceAsia, Nick Plowman from Ogier, Iain Carey from Northern Trust, Christine Lin from EY.

Session 2 – Being Licensed in Hong Kong

Topics: Ongoing Obligations, FRR and Audit, Personal Share Dealing, Record Keeping, Professional and Retail Investors, Surveys, Inspections and Investigations

Speakers: Philippa Allen, Alex Duperouzel and Alice Lyu from ComplianceAsia, Philip Kwong from EY, Alan Linning from Mayer Brown JSM

Session 3 – Changes in Hong Kong

Topics: Fund Manager Code of Conduct, Liquidity Management, Valuation Rules, OTC Derivatives Trading, Stock Connect ID – Speaker: Philippa Allen from ComplianceAsia

Session 4 – A Global Tour of Capital Raising

Topics: Australia, Japan, Singapore, Europe and AIFMD, the Americas

Speakers: Philippa Allen and Nithi Genesan from ComplianceAsia, Dan McNicholas from Nomura, Anne Marie Godfrey from Akin Gump Strauss Hauer & Feld

Session 5 – Other Major Regulatory Issues

Topics: SEC Registration, MiFiD II and Research and Bundling, Singapore Initiatives, Fintech

Speakers: Philippa Allen and Nithi Genesan from ComplianceAsia and Kristi Swartz from Bryan Cave

Networking Session and Regtech Demos Demonstrations from Veridate Financial and Quintain Analytics.

For any further information on the day, please contact Marketing@ComplianceAsis.com

The post ComplianceAsia, SPDB International and in association with AIMA hosted a China Fund Manager Day on March 15 appeared first on ComplianceAsia.

Date:  Tuesday 13 March 2018

Time:  5.00pm to 7.00pm

Location:  The China Club, 15/F, The Old Bank of China Building, Bank Street, Central

For more information about Compliance Talent Solutions, please visit our website or contact Duncan MacKay.

We were delighted to host you

Best regards,

ComplianceAsia

The post ComplianceAsia hosted a ROHK Network Cocktails and CPT session on March 13 appeared first on ComplianceAsia.

Date: 5 March 2018, Monday

Venue: Cotillion Room, The Pierre, 2E 61 Street, New York, New York 10065    

 The Access Alts Asia Alternatives Summit 2018, New York, brings together a hand-curated set of top LPs and GPs in the alternatives space. With over US$1.5 trillion in represented assets, this is the largest Asian alternatives gathering in the world, and showcases top Hedge Funds, Private Equity and Venture Capital Funds from Asia.

The Summit is on track to have record allocator attendance, with some of the biggest US institutional investors, Asian Sovereign Wealth Funds and multi-billion Dollar China Family Offices in attendance.

Why Asia?

It is no secret that Asia today presents some of the most compelling alpha opportunities of the century, and the Summit is an excellent way to discover “below the radar” younger as well as established Managers, skilled at delivering long-term alpha through high-octane alternative strategies.

The post ComplianceAsia spoke at the Access Alts Asia-Alternatives Summit 2018 appeared first on ComplianceAsia.

In 2015 AIMA introduced its inaugural regional flagship event – the AIMA APAC Annual Forum, bringing together nearly 400 policy and regulatory figures, hedge fund and alternative investment managers and other Asia-Pacific thought leaders to address the key regulatory, policy and operational focus areas anticipated for Asia-Pacific managers in the coming year.

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The AIMA APAC Annual Forum 2018 will:

Bring together….
•    Policy-Makers and Regulators
•    Hedge fund and alternative investment management industry influences and thought leaders
•    Members of the AIMA community

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Discuss….
•    The challenges and opportunities currently facing the industry in this complex and changing world

VENUE

JW Marriott Hotel

88 Queensway, Admiralty, Hong Kong

TIME

08.00 to 08:30 – Registration

08:30 to 17:00 – Forum

17:30 to 20:30 – Networking Drinks

The post ComplianceAsia attended the AIMA APAC Annual Forum and Post-Forum Networking Drinks on March 1 appeared first on ComplianceAsia.

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