Aaron has extensive experience with respect to local licensing requirements, regulatory inspections, as well as other regulatory compliance matters as they relate to US Dodd Frank, the U.S. 1933 Securities Act, the 1934 Exchange Act and the 1940 Advisers Act, the Securities and Futures Act in Singapore and the Securities and Futures Ordinance in Hong Kong.
Aaron’s background includes key areas such as Regulatory and Operational Due Diligence, institutional asset allocator requirements, Foreign Corrupt Practices Act, OFAC Sanctions, AML & KYC issues (including combating Terrorism Financing throughout Asia-Pacific), & other financial crime matters and market misconduct.
Aaron’s prior experience includes positions as Head of Global Compliance for a Singapore based global asset manager where he worked closely with Asia, US and Middle Eastern regulatory bodies, as well as his time at a large US based global asset manager working on US, Asia and European regulatory compliance matters.
