COMPLIANCE FUNCTIONINFINANCIAL …

IFAST financialiFAST FINANCIAL byWong Teck KowCOY REGISTERED NO. 200000231R 2006 FINANCIAL ADVISERS TRANSACTION IN FINANCIAL INSTITUTIONSis increasingly sophisticat-ed. With growing regulatory demands, major financialinstitutions such as banks are devoting substantialresources into COMPLIANCE functions. Surprisingly, there is a lack of intellectual resources oncompliance in Asia. This article aims to bridge that hope to contribute a resource, increase awareness incompliance issues, stimulate interaction amongst financialand COMPLIANCE professionals, and ultimately enhancecompliance standards in the financial industry. Who is Responsible? COMPLIANCE officers seem to be the obvious candidates totake responsibility if things go wrong.

iFAST financial iFAST FINANCIAL by Wong Teck Kow COY REGISTERED NO. 200000231R © 2006 FINANCIAL ADVISERS’ TRANSACTION PLATFORM WWW.IFASTFINANCIAL.COM COMPLIANCE IN FINANCIAL INSTITUTIONSis increasingly sophisticat-

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  Compliance, Compliance functioninfinancial, Functioninfinancial

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