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