Regulatory Committee

Regulatory Committee


The Regulatory Committee promotes and facilitates pragmatic implementation of regulatory policies and sharing of best practices and knowledge. It undertakes to identify and review regulatory policy issues and initiatives that may affect IMAS members and, where appropriate, develop industry policy approaches to advance the interest of IMAS and its members.

 



Chairman
Fann Teh
Head of Compliance, Singapore and South East Asia, J.P. Morgan Asset Management
Fann Teh
Head of Compliance, Singapore and South East Asia, J.P. Morgan Asset Management

Fann has close to 18 years compliance experience in the asset management industry. Currently she heads up the compliance team for Asset management, Singapore and Southeast Asia at JPMorgan Asset Management. She is responsible for providing compliance and regulatory advice, performing independent monitoring and oversight for the asset management businesses in the SSEA region in addition to consulting on the compliance training program for employees and actively participates in regulatory consultations. Prior to joining JPMorgan in 2011, Fann worked for an international European bank for close to 5 years as Compliance head for its asset management arm after she left her compliance job after 4 years as co-head of the compliance and control unit in a French asset management firm.

Member
Aik Ai Hua
Head of Compliance, Singapore, Aberdeen Standard Investments
Aik Ai Hua
Head of Compliance, Singapore, Aberdeen Standard Investments

Aik Ai Hua is the Head of Compliance- Singapore at Aberdeen Standard Investments (Asia) Limited. Before joining Aberdeen Standard Investments in 2019, Ai Hua headed up the Compliance function at Schroders Investment Management Singapore where she acted in similar capacity. Save for a short stint as an auditor at KPMG after graduating from Nanyang Technological University with a BA in Accountancy, Ai Hua is a lifer in the compliance profession with compliance roles in global asset management firms including Columbia Management, Amundi and Allianz Global Investors. Ai Hua is a Chartered Accountant of Singapore.

Member
Tan Hong Yock
Head of Compliance, Singapore, AllianceBernstein
Tan Hong Yock
Head of Compliance, Singapore, AllianceBernstein

Hong Yock joined AllianceBernstein in 2011 and is currently the Head of Compliance for the Singapore Office. Prior to joining AllianceBernstein, Hong Yock held various roles in Compliance, Finance and Internal Audit with ST Asset Management and Vertex Management II Pte Ltd, both wholly owned subsidiaries of Temasek. Before that she spent 5 years in operations with OUB Asset Management and 2 years as the Compliance Manager with UOB Asset Management. She is a Chartered Accountant of Singapore, and a Fellow (FICA) Certified Professional Member with International Compliance Association.

Member
Adeline Soh
Director, Head of Legal, South East Asia, BlackRock
Adeline Soh
Director, Head of Legal, South East Asia, BlackRock

Adeline Soh, is Director, Head of Legal South East Asia at BlackRock where her responsibilities include advising on local and Southeast Asia regulatory matters, product registrations and maintenance, distribution solutions, derivatives regulatory, and employment law issues. Adeline is also the lead counsel for BlackRock’s Institutional Client Business and Transition Management Business in APAC, and continues to advise and support client business teams in Asia ex Japan.

Prior to joining BlackRock in September 2010, Adeline was at international law firm Clifford Chance where her experience includes advising on investment management, fund mergers, fund distributions, separate accounts, and securities regulatory matters.

Adeline obtained her LLB Law degree with First Class Honours from the University of Leicester in 2003 and was awarded the Eversheds Commercial Law Prize 2003 for outstanding performance in commercial law. Adeline was admitted as an advocate and solicitor of the Singapore Bar in 2005.

Fann Teh
Head of Compliance, Singapore and South East Asia, J.P. Morgan Asset Management

Fann has close to 18 years compliance experience in the asset management industry. Currently she heads up the compliance team for Asset management, Singapore and Southeast Asia at JPMorgan Asset Management. She is responsible for providing compliance and regulatory advice, performing independent monitoring and oversight for the asset management businesses in the SSEA region in addition to consulting on the compliance training program for employees and actively participates in regulatory consultations. Prior to joining JPMorgan in 2011, Fann worked for an international European bank for close to 5 years as Compliance head for its asset management arm after she left her compliance job after 4 years as co-head of the compliance and control unit in a French asset management firm.

Aik Ai Hua
Head of Compliance, Singapore, Aberdeen Standard Investments

Aik Ai Hua is the Head of Compliance- Singapore at Aberdeen Standard Investments (Asia) Limited. Before joining Aberdeen Standard Investments in 2019, Ai Hua headed up the Compliance function at Schroders Investment Management Singapore where she acted in similar capacity. Save for a short stint as an auditor at KPMG after graduating from Nanyang Technological University with a BA in Accountancy, Ai Hua is a lifer in the compliance profession with compliance roles in global asset management firms including Columbia Management, Amundi and Allianz Global Investors. Ai Hua is a Chartered Accountant of Singapore.

Tan Hong Yock
Head of Compliance, Singapore, AllianceBernstein

Hong Yock joined AllianceBernstein in 2011 and is currently the Head of Compliance for the Singapore Office. Prior to joining AllianceBernstein, Hong Yock held various roles in Compliance, Finance and Internal Audit with ST Asset Management and Vertex Management II Pte Ltd, both wholly owned subsidiaries of Temasek. Before that she spent 5 years in operations with OUB Asset Management and 2 years as the Compliance Manager with UOB Asset Management. She is a Chartered Accountant of Singapore, and a Fellow (FICA) Certified Professional Member with International Compliance Association.

Adeline Soh
Director, Head of Legal, South East Asia, BlackRock

Adeline Soh, is Director, Head of Legal South East Asia at BlackRock where her responsibilities include advising on local and Southeast Asia regulatory matters, product registrations and maintenance, distribution solutions, derivatives regulatory, and employment law issues. Adeline is also the lead counsel for BlackRock’s Institutional Client Business and Transition Management Business in APAC, and continues to advise and support client business teams in Asia ex Japan.

Prior to joining BlackRock in September 2010, Adeline was at international law firm Clifford Chance where her experience includes advising on investment management, fund mergers, fund distributions, separate accounts, and securities regulatory matters.

Adeline obtained her LLB Law degree with First Class Honours from the University of Leicester in 2003 and was awarded the Eversheds Commercial Law Prize 2003 for outstanding performance in commercial law. Adeline was admitted as an advocate and solicitor of the Singapore Bar in 2005.

Member
Chris An
Deputy Head of Compliance, Asia Pacific (Ex-Japan), and Head of Compliance, Singapore, Goldman Sachs Asset Management
Chris An
Deputy Head of Compliance, Asia Pacific (Ex-Japan), and Head of Compliance, Singapore, Goldman Sachs Asset Management

Chris is deputy head of Asia Pacific (Ex-Japan) Goldman Sachs Asset Management (GSAM) Compliance and head of Singapore GSAM Compliance that supports GSAM businesses across Asia Pacific Ex-Japan region. He leads regional compliance surveillance monitoring programs and global efforts on compliance training programs for GSAM businesses. Chris joined Goldman Sachs in GSAM Compliance in 2011 as an associate and was named senior compliance officer in 2019.

Prior to joining the firm, Chris worked as an external auditor and consultant at Ernst & Young Singapore and Korea. Chris earned a Master of Commerce from University of New South Wales in 2006 and earned a graduate diploma of Chartered Accounting from the Institute of Chartered Accountants in Australia in 2009. He is a certified FRM.

Member
Louis Seah
Director, Investment Management Compliance, Asia ex-Japan, Morgan Stanley Investment Management
Louis Seah
Director, Investment Management Compliance, Asia ex-Japan, Morgan Stanley Investment Management

Louis is a Director at Morgan Stanley Investment Management and he provides compliance advisory to the investment management businesses in the Asia (ex-Japan) region, which includes Australia, China, Hong Kong, Singapore, Taiwan and Korea. Prior to that, he was Vice President at Allianz Global Investors. In that role, in addition to providing Singapore compliance coverage, he contributed to the establishment of the China QDLP WFOE and was also attached to the Hong Kong office where he gained exposure to the regulatory environment there.

Louis is passionate about asset management and has a decade of industry experience. He graduated with a Bachelor of Business Management with double majors in Finance and Information Systems from Singapore Management University. He holds a Diploma in Governance, Risk and Compliance from the International Compliance Association and is a Certified Anti-Money Laundering Specialist.

Member
Madeline Ho
Chief Executive Officer, Natixis Investment Management
Madeline Ho
Chief Executive Officer, Natixis Investment Management

Madeline Ho is the Chief Executive Officer of Natixis Investment Managers Singapore Limited and in this role, she oversees the smooth running of its Singapore office and operations, which includes both business development and investment management activities. She joined in January 2013 as Executive Managing Director, Head of Wholesale Fund Distribution for Asia Pacific. She strategizes and implements plans to develop and grow the firm’s institutional and distribution businesses in Singapore and the surrounding key Southeast Asian (“SEA”) countries. In addition, she spearheads the development of its distribution business in the key markets in Asia.

Madeline joined from Fidelity International where she was the Regional Head of Singapore and Southeast Asia for 7 years, and was instrumental in the development and growth of its business in these markets. Prior to Fidelity, she spent 10 years at Franklin Templeton Investments in various management roles.

Madeline is well-respected within the Singapore financial community, and has a strong background in sales, marketing and product development across various countries in the Asia Pacific region. She is an active member of the Investment Management Association of Singapore (IMAS) and a member of its regulatory sub-committee and a past member of its Executive Committee. She has also served in the organizing committee of the annual IMAS conference, including as its Chairperson for the 11th and 15th annual conference.

She also serves as a Female Champion of Financial Women’s Association (“FWA”) Singapore, a platform supporting professional development of women in the financial industry. An ardent supporter of consumer literacy education, she speaks regularly at conferences and seminars. Madeline received a Bachelor’s Degree in Business Administration, majoring in Marketing, from the National University of Singapore.

Member
Ho Han Ming
Partner and Co-leader, Asia Investment Funds Practice, Sidley Austin LLP
Ho Han Ming
Partner and Co-leader, Asia Investment Funds Practice, Sidley Austin LLP

HAN MING HO is a partner and co-leader of the firm’s Asia Investment Funds practice. He focuses on fund formation of open-ended and close-ended structures and related regulatory matters as well as regularly advises fund managers on the establishment of business operations in Singapore, together with the establishment, structuring and registration of investment funds in Singapore and various other Asia Pacific jurisdictions. In addition, Han Ming’s regulatory experience includes advising on compliance and licensing issues relating to securities and financial advisory law as well as liaising regularly with Singapore regulators.

Han Ming has extensive experience counseling clients on the structuring and formation of a broad range of investment funds, including hedge funds, private equity funds, real estate funds, exchange traded funds and other structured financial products. He has advised leading fund sponsors and managers, investment banks, financial institutions, venture capitalists and institutional investors.

Chris An
Deputy Head of Compliance, Asia Pacific (Ex-Japan), and Head of Compliance, Singapore, Goldman Sachs Asset Management

Chris is deputy head of Asia Pacific (Ex-Japan) Goldman Sachs Asset Management (GSAM) Compliance and head of Singapore GSAM Compliance that supports GSAM businesses across Asia Pacific Ex-Japan region. He leads regional compliance surveillance monitoring programs and global efforts on compliance training programs for GSAM businesses. Chris joined Goldman Sachs in GSAM Compliance in 2011 as an associate and was named senior compliance officer in 2019.

Prior to joining the firm, Chris worked as an external auditor and consultant at Ernst & Young Singapore and Korea. Chris earned a Master of Commerce from University of New South Wales in 2006 and earned a graduate diploma of Chartered Accounting from the Institute of Chartered Accountants in Australia in 2009. He is a certified FRM.

Louis Seah
Director, Investment Management Compliance, Asia ex-Japan, Morgan Stanley Investment Management

Louis is a Director at Morgan Stanley Investment Management and he provides compliance advisory to the investment management businesses in the Asia (ex-Japan) region, which includes Australia, China, Hong Kong, Singapore, Taiwan and Korea. Prior to that, he was Vice President at Allianz Global Investors. In that role, in addition to providing Singapore compliance coverage, he contributed to the establishment of the China QDLP WFOE and was also attached to the Hong Kong office where he gained exposure to the regulatory environment there.

Louis is passionate about asset management and has a decade of industry experience. He graduated with a Bachelor of Business Management with double majors in Finance and Information Systems from Singapore Management University. He holds a Diploma in Governance, Risk and Compliance from the International Compliance Association and is a Certified Anti-Money Laundering Specialist.

Madeline Ho
Chief Executive Officer, Natixis Investment Management

Madeline Ho is the Chief Executive Officer of Natixis Investment Managers Singapore Limited and in this role, she oversees the smooth running of its Singapore office and operations, which includes both business development and investment management activities. She joined in January 2013 as Executive Managing Director, Head of Wholesale Fund Distribution for Asia Pacific. She strategizes and implements plans to develop and grow the firm’s institutional and distribution businesses in Singapore and the surrounding key Southeast Asian (“SEA”) countries. In addition, she spearheads the development of its distribution business in the key markets in Asia.

Madeline joined from Fidelity International where she was the Regional Head of Singapore and Southeast Asia for 7 years, and was instrumental in the development and growth of its business in these markets. Prior to Fidelity, she spent 10 years at Franklin Templeton Investments in various management roles.

Madeline is well-respected within the Singapore financial community, and has a strong background in sales, marketing and product development across various countries in the Asia Pacific region. She is an active member of the Investment Management Association of Singapore (IMAS) and a member of its regulatory sub-committee and a past member of its Executive Committee. She has also served in the organizing committee of the annual IMAS conference, including as its Chairperson for the 11th and 15th annual conference.

She also serves as a Female Champion of Financial Women’s Association (“FWA”) Singapore, a platform supporting professional development of women in the financial industry. An ardent supporter of consumer literacy education, she speaks regularly at conferences and seminars. Madeline received a Bachelor’s Degree in Business Administration, majoring in Marketing, from the National University of Singapore.

Ho Han Ming
Partner and Co-leader, Asia Investment Funds Practice, Sidley Austin LLP

HAN MING HO is a partner and co-leader of the firm’s Asia Investment Funds practice. He focuses on fund formation of open-ended and close-ended structures and related regulatory matters as well as regularly advises fund managers on the establishment of business operations in Singapore, together with the establishment, structuring and registration of investment funds in Singapore and various other Asia Pacific jurisdictions. In addition, Han Ming’s regulatory experience includes advising on compliance and licensing issues relating to securities and financial advisory law as well as liaising regularly with Singapore regulators.

Han Ming has extensive experience counseling clients on the structuring and formation of a broad range of investment funds, including hedge funds, private equity funds, real estate funds, exchange traded funds and other structured financial products. He has advised leading fund sponsors and managers, investment banks, financial institutions, venture capitalists and institutional investors.

The Regulatory Committee promotes and facilitates pragmatic implementation of regulatory policies and sharing of best practices and knowledge. It undertakes to identify and review regulatory policy issues and initiatives that may affect IMAS members and, where appropriate, develop industry policy approaches to advance the interest of IMAS and its members.
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3 Phillip Street
Royal Group Building #07-01
Singapore 048693

Email: enquiries@imas.org.sg
Tel: +65 6223 9353
Fax: +65 6223 9352