AIAM Q4 EVENT | 14 NOVEMBER
Compliance Workshop:
License Obligations and MiFID II
Common Regulatory Questions & Pitfalls for IAMs
1. Does the CMS license for fund management or RFMC status allow ancillary services and activities?
2. How does MAS view the use of introducers, referral agents and payment, receipt of retrocessions, trailer fees and commissions?
3. What is the current definition of Accredited Investors, what are the proposed changes?
MiFID II & Its Impact In Asia
1. What are the key extraterritorial impact areas?
2. How are Asian firms reacting to MiFID II?
3. What does MiFID II mean to Asia’s wealth management industry?
Get these questions answered at the final AIAM Compliance Workshop for 2017.
This exclusive event is limited to 50 pax only.
Kindly note in the additional info if required a vegetarian meal.
2 hours CPT certificate will be provided for the participants who attend the entire session.
Kindly note that a SGD50.00 no-show penalty fee is applicable for this event. If you would like to register now but are unable to attend closer to date, please inform support-SG@aiam.org.sg 48 hours before event day. Thank you!
Keynote Speakers
Tan Woon Hum
Head of Trust, Asset & Wealth Management Practice, Shook Lin & Bok LLP
Tan Woon Hum is widely regarded as one of the rare market leaders specializing and advising on investment funds, REITs, and trusts. He heads a team of specialist lawyers in the Trust, Asset & Wealth Management practice and co-heads the Corporate Real Estate practice at Shook Lin & Bok LLP.
Shook Lin & Bok LLP is one of the leading commercial law firms in Singapore with a strong Asian presence and global reach. The Firm is also recognized by reputable legal directories for its expertise across major areas of practice, including trust, asset and wealth management. Over the years, Shook Lin & Bok has also established itself as the law firm of choice for inbound and outbound investments within Asia.
Neil Pabari 
Head of Market Development, ASEAN, Thomson Reuters
Neil joined Thomson Reuters in 2011 and has had key roles within the firm across core businesses including online trading, wealth management, asset management, and exchanges. Neil is currently running the MiFID II programme for Thomson Reuters in Asia.
Thomson Reuters has the content, technology, experience, and expertise to help meet the challenge that MiFID II poses, as well as take advantage of the market opportunities and potential for competitive advantage that the regulation undoubtedly offers. The far-reaching impact of MiFID II can be understood with an overview of the regulations, how they will affect, and solutions for leveraging a robust compliance strategy.
Hourly Schedule
- 11.45am -
- Registration
- 12.00pm -
- Lunch and Networking
- 12.30pm -
- License Obligation by Shook Lin & Bok
- 1.30pm -
- MiFID II by Thomson Reuters
- 2.15pm -
- Q&A
Compliance Workshop:
License Obligations and MiFID II
Common Regulatory Questions & Pitfalls for IAMs
1. Does the CMS license for fund management or RFMC status allow ancillary services and activities?
2. How does MAS view the use of introducers, referral agents and payment, receipt of retrocessions, trailer fees and commissions?
3. What is the current definition of Accredited Investors, what are the proposed changes?
MiFID II & Its Impact In Asia
1. What are the key extraterritorial impact areas?
2. How are Asian firms reacting to MiFID II?
3. What does MiFID II mean to Asia’s wealth management industry?
Get these questions answered at the final AIAM Compliance Workshop for 2017.
This exclusive event is limited to 50 pax only.
Kindly note in the additional info if required a vegetarian meal.
2 hours CPT certificate will be provided for the participants who attend the entire session.
Kindly note that a SGD50.00 no-show penalty fee is applicable for this event. If you would like to register now but are unable to attend closer to date, please inform support-SG@aiam.org.sg 48 hours before event day. Thank you!
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Hourly Schedule
- 11.45am -
- Registration
- 12.00pm -
- Lunch and Networking
- 12.30pm -
- License Obligation by Shook Lin & Bok
- 1.30pm -
- MiFID II by Thomson Reuters
- 2.15pm -
- Q&A
