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Compliance Officers Committee

Terms of Reference

  1. To facilitate and promote the development of a compliance culture which is conducive to minimising regulatory risk of Member institutions and the resultant sanctions and reputational damage.
  2. To provide regular forum/dialogues for interaction, consultation for Members as well as exchange of information regarding current developments, emerging compliance issues or matters of importance relating to potential business regulatory risk that could be streamlined accordingly.
  3. To liaise with the regulatory bodies on compliance matters in respect of information sharing, clarification of rules and regulations as well as requests of advice.
  4. To keep abreast with the latest compliance issues and to keep the Compliance Officers abreast of compliance concerns, including areas of weakness and proposed, new or changing laws, regulations and rules.
  5. To provide guidance to Members on the interpretation of provisions as contained in the Anti-Money Laundering Act 2001 and other relevant rules and regulations in respect of practice issues/management.
  6. To submit minutes/reports on compliance issues to the Association's Council.
  7. To deal with other matters as delegated by the Council from time to time.

Members of the Compliance Officers Committee for the Year 2016/2017

Hong Leong Investment Bank Bhd

Mr Albert Tai Lee Chuan (Chairman)

Affin Hwang Investment Bank Bhd

Ms Chen Mun Peng

Alliance Investment Bank Bhd

Ms Khaw Lin Lin

AmInvestment Bank Bhd

Mr J Visvanathan A/L Jaganatha

CIMB Investment Bank Bhd

Mr Kwan Keen Yew

Kenanga Investment Bank Bhd

Ms Benothini Bascaran

Maybank Investment Bank Bhd

Encik Ismail Awang

MIDF Amanah Investment Bank Bhd

Tunku Shariz Bin Tunku Azmi

Public Investment Bank Bhd

Mr Devarajoo A/L Sinniah 

RHB Investment Bank Bhd

Mr Soom Phon Endin Win


3th May, 2017
ABOUT THE PROGRAMME The Workshop on Compliance and Anti-Money Laundering…
13th Apr, 2017
About the Programme On 24 July 2014, the International Accounting…
28th Feb, 2017
About the programme This half-day briefing will help market participants…

Past Events

6th Nov, 2015
31th Oct, 2014
Welcome Remarks By Ybhg Tan Sri Azman HashimChairman, Malaysian Investment...
3th Nov, 2013
Welcome Remarks By Ybhg Tan Sri Azman HashimChairman, Malaysian Investment...
10th Nov, 2012
Welcome Remarks By Ybhg Tan Sri Azman HashimChairman, Malaysian Investment...


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Contact Us

Malaysian Investment Banking Association
Level 7, Unit 3, Menara MIDF
No. 82, Jalan Raja Chulan
50200 Kuala Lumpur, Malaysia

Tel: +6 (03) 27113991, +6 (03) 27113992,
       +6 (03) 27113996

Fax: +6 (03) 27113998

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