Compliance

 

 Purpose

The Compliance Committee leads 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. This committee also monitors efforts by specialist groups established to address issues that cut across multiple committees and encourages (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 Contacts

Patrick Pang - Managing Director – Head of Fixed Income and Compliance

Chairmen

Chair:            Aveline San, UBS

Vice-Chair:  Barbara Leach-Walters, State Street


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