Transcription of COMPLIANCE FUNCTIONINFINANCIAL INSTITUTIONS
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COMPLIANCE FUNCTIONINFINANCIAL INSTITUTIONS
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.
iFAST financial iFAST FINANCIAL COY REGISTERED NO. 200000231R © 2006 FINANCIAL ADVISERS’ TRANSACTION PLATFORM WWW.IFASTFINANCIAL.COM their personal ...
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