ComplianceAsia

Financial Industry Compliance in Asia Pacific

简体中文 繁體中文한국어
Financial Industry Compliance in Asia Pacific
  • Contact Us
  • Careers
  • Help
  • Sitemap
  • Legal
  • Home

Who We Are

ComplianceAsia is an independent consulting firm that specializes in providing regulatory and compliance consulting services to financial institutions and listed companies in Asia Pacific.

Find out more about:

  • Our Company
  • Our Team

What We Do

Our services fall into a few main categories. Click on the links below to find out how we can help you.

  • Licensing
  • Ongoing Support
  • Compliance Projects
  • ISDA Documentation

Upcoming Events

Jul
1
Mon
all-day Intended Date for Tax Crimes to Become Predicate Money Laundering Offence @ Singapore
Intended Date for Tax Crimes to … @ Singapore
Jul 1 all-day
Tax Crimes to become predicate Money Laundering Offence pending consultation paper and amendments. The consultation paper may be found on the MAS website here.
all-day Trust Bank’s oversighting systems in DIM are implemented
Trust Bank’s oversighting system…
Jul 1 all-day
Implementation of systems for Trust Bank to receive NAV and external Audit Report, by DIM. Implementation of reconciliation of NAVs from DIM, Audit Report and [...]
Aug
14
Wed
all-day Responses due for “Consultation Paper on the Proposed Amendments to the Professional Investor Regime and the Client Agreement Requirements” @ Hong Kong
Responses due for “Consultation … @ Hong Kong
Aug 14 all-day
The Securities and Futures Commission of Hong Kong is seeking to amend the professional investment regime by requiring intermediaries to apply suitability requirements to all [...]
Jan
1
Wed
all-day New Code of Conduct for Persons Persons Licensed by or Registered with the Securities and Futures Commission @ Hong Kong
New Code of Conduct for Persons … @ Hong Kong
Jan 1 all-day
A new Code of Conduct will come into effect on 1 January 2014 to encompass regulations set out in the Securities and Futures Commission’s new [...]
all-day New Fund Manager Code of Conduct @ Hong Kong
New Fund Manager Code of Conduct @ Hong Kong
Jan 1 all-day
A new Fund Manager Code of Conduct will come into force on 1 January 2014 following the new regulatory regime set out by the Securities [...]

View Calendar Add Add

What’s New

*Please note that we are not responsible for the content of third party websites*


  • Who We Are
    • Our Company
    • Our Team
  • What We Do
    • Licensing
    • Ongoing Support
    • Compliance Projects
    • ISDA Documentation
  • News & Events
    • Upcoming Events
    • Newsletter Sign up
  • Contact Us
  • Careers

RSS From Our Blog

  • SFC bans rep for life June 18, 2013
  • CS in HK fined for position limit breaches June 14, 2013
  • US AML authorities launch global action against Liberty money transfer system May 29, 2013
Follow @ComplianceAsia1
Copyright 2013 Compliance International Limited
  • Contact Us
  • Careers
  • Help
  • Sitemap
  • Legal
  • Home