Compliance Officers Committee
 /  Compliance Officers Committee

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 2020/2021

Full-Fledged Members

Hong Leong Investment Bank Bhd

Mr Albert Tai Lee Chuan (Chairman)

Affin Hwang Investment Bank Bhd

Ms Khaw Lin Lin

Alliance Investment Bank Bhd

Mr Tan Gua Hui

AmInvestment Bank Bhd

Mr J Visvanathan A/L Jaganatha

CIMB Investment Bank Bhd

Ms Kok Yien Fui

Kenanga Investment Bank Bhd

Ms Choo Siew Fun

Maybank Investment Bank Bhd

Mr Dennis Jee Chin Chee

Public Investment Bank

Mr Devarajoo A/L Sinniah

RHB Investment Bank Bhd

Mr Soom Phon Endin Win

Associate Member

UOB Kay Hian Securities (M) Sdn Bhd

Ms Lim Li Ai

Events

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