Key Changes that may affect you!
- Guidelines on BCM (June 2022)
- AML Updates - Non-Face to Face Account Opening (Feb 2022)
- Strengthening Screen Practices (Apr 2022)
- SFA 04-N02 – Notice on the Prevention of AML
- Circular on Significant Redemption, Gating and Suspension of Funds (May 2022)
- Operational risk management - management of third-party arrangements (Aug 2022)
- Additional consultation on misconduct reporting requirements
Philippa Allen has over 30 years’ extensive business and regulation experience in Asia.
Prior to co-founding ComplianceAsia, Philippa was the Head of Compliance, APAC for Dresdner Bank and GT Asset Management (LGT Asset Management). She was one of the drafters of the original Fund Manager Code of Conduct in Hong Kong and is involved in numerous submissions to regulators and lobbying efforts with financial industry bodies.
She graduated from the University of Western Australia with a Bachelor of Jurisprudence and Bachelor of Laws (LLB) degree. Upon graduation, she commenced practice as a barrister and solicitor for Freehill Hollingdale and Page, in Perth, Western Australia.
Philippa is a frequent speaker at financial industry conferences and technical panels, and a member of various industry representative bodies including AIMA, ASIFMA, HKVCA, SFAA and SVCA.
REGISTRATION DEADLINE: 3 OCTOBER 2022 (MON)
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