Proposed MAS Guidelines on Individual Accountability and Conduct

July 16, 2019 July 16, 2019
11:30AM - 1:30PM Sidley Austin LLP | Level 31 Six Battery Road Singapore 049909
Navigation

In April 2018, MAS issued a first consultation paper on a new set of proposed Guidelines on Individual Accountability and Conduct (IAC Guidelines) to promote the individual accountability of senior managers, strengthen oversight of material risk personnel and reinforce standards of proper conduct among all employees of financial institutions (FIs) including fund managers. In June this year the MAS issued its response to feedback received on the first consultation paper, and separately issued a second consultation paper on the proposed applicability of the IAC Guidelines and revised list of core management functions that MAS would normally consider to be performed by senior managers. The presentation aims to give fund managers an overview of the current state of play of the proposed IAC Guidelines.

Programme
11:30am Registration
12:00pm Presentation & Lunch
1:00pm Q&A

Speakers

Han Ming Ho
Partner and Co-leader, Asia Investment Funds Practice, Sidley Austin LLP

HAN MING HO is a co-leader of Sidley’s Asia Investment Funds practice. He focuses on fund formation of open-ended and close-ended entities and related regulatory matters as well as regularly advises fund managers on the establishment of business operations in Singapore, together with the establishment, structuring and registration of investment funds in Singapore and various other Asia Pacific jurisdictions.

He also served on the Asia-Pacific Board (Council) Director and Singapore National Group Chairman of AIMA (Alternative Investment Management Association), and currently sits as a member of the Advocacy Committee of SVCA (Singapore Venture Capital & Private Equity Association), a member of the Regulatory Committee of IMAS (Investment Management Association of Singapore) and a member of the Fund Management Working Group, IBF (The Institute of Banking & Finance).

Josephine Law
Counsel, Sidley Austin LLP

JOSEPHINE LAW is counsel in the Investment Funds practice in Sidley’s Singapore office. She focuses her practice in both registered fund transactions and financial services regulatory advice. Josephine has significant experience in establishing domestic funds, listing exchange traded funds on the Singapore Exchange, registering both domestic and offshore funds for retail distribution, and registering funds for restricted offers to accredited investors.

Josephine frequently advises on the establishment and licensing of fund management clients, as well as handling license applications with the Monetary Authority of Singapore. She also regularly advises on financial services regulatory issues relating to payment systems, stored value facilities, remittance business, credit cards and merchant acquiring, as well as regulated products and services under the Securities and Futures Act and Financial Advisers Act.

DRESS CODE: BUSINESS ATTIRE 
REGISTRATION DEADLINE: 11 JULY 2019 (THU)

We regret that we are unable to refund you once your registration is confirmed. Please send a replacement if there are any last minute changes to your schedule and inform us at least 2 working days prior. A no-show fee equivalent to the registration fee will be imposed for those who have registered but payment not received by us. Please note that information collected may be shared with 3rd parties such as partners and/ or sponsors. SVCA may (at its sole discretion) change the format, speakers, participants, content, venue location and programme or any other aspect of the event at any time and for any reason, whether or not due to a Force Majeure Event, in each case without liability. Thank you for your co-operation.

SYLVIA KOH

TEL: +65 6224 7001

EMAIL: EVENT@SVCA.ORG.SG