Regulatory Roundtable

Regulatory Roundtable

The IMAS Regulatory/Legal/Compliance Roundtable is a biannual event where current and pertinent regulatory/legal/compliance issues affecting the investment management industry are discussed. The Roundtable serves as an interactive session for members to exchange their views and ideas.

IMAS 17TH REGULATORY ROUNDTABL

IMAS 17TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

During the 17th Regulatory Roundtable, members delved into pertinent regulatory issues affecting the investment management industry, including the recent proposed guidelines on Anti-Money Laundering (AML), as well as Digital Prospecting.

IMAS 17TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

  • 22 Nov 2023 (Wed) | 2:15pm to 5:30pm (SGT)

During the 17th Regulatory Roundtable, members delved into pertinent regulatory issues affecting the investment management industry, including the recent proposed guidelines on Anti-Money Laundering (AML), as well as Digital Prospecting.

We are pleased to have Sidley Austin LLP join us to decode the proposed MAS guidelines and facilitate the breakout session where participants engaged in though-provoking discussions in various subtopics and case studies, including AML relating to Single Family Offices, AML relating to Digital Assets, as well as ensuring responsible conduct in digital prospecting and marketing activities.

More materials regarding the session are available below:

IMAS 16th Regulatory Roundtable

IMAS 16TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

During the 16th Regulatory Roundtable, members had a chance to deepen their understanding on the revised guidelines on Business Continuity Management (BCM) that was released by the Monetary Authority of Singapore (MAS) in June 2022. 

IMAS 16TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

  • 14 Jun 2023 (Wed) | 2:15pm to 5:15pm (SGT)

During the 16th Regulatory Roundtable, members had a chance to deepen their understanding on the revised guidelines on Business Continuity Management (BCM) that was released by the Monetary Authority of Singapore (MAS) in June 2022. 

We are pleased to have Deloitte & Touche Enterprise Risk Services Pte Ltd’s BCM team join us to unpack the BCM guidelines and facilitate a table top discussion for IMAS members to get a chance to apply their learnings. Please refer to our programme brochure for more information. 

More materials regarding the session are available below:

IMAS 15 Regulatory Roundtable2

IMAS 15TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

During the 15th Regulatory Roundtable, we are glad to have resumed an in-person format with close to 40 IMAS members participating in the discussion of key topics including:

IMAS 15TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

7 Dec 2022 (Wed) | 2:30pm to 5:00pm (SGT)

During the 15th Regulatory Roundtable, we are glad to have resumed an in-person format with close to 40 IMAS members participating in the discussion of key topics including:

  • Overview of Global ESG Regulations
  • MAS Guidelines on EnRM and the Information Paper on EnRM Guidelines
  • Disclosure and Reporting Guidelines for Retail ESG Funds

Special thanks to our sponsor ComplianceAsia and host JPMorgan for making this event possible. Please refer here for more information about the topics. More materials regarding the session and recording are available below:

imas14th-regulatory-roundtable

IMAS 14TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

During the first Roundtable discussion of 2022, over 50 IMAS members participated in the the discussion of key topics

IMAS 14TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

25 Mar 2022 (Fri) | 2.30pm to 5.00pm (SGT)

During the first Roundtable discussion of 2022, over 50 IMAS members participated in the discussion of key topics including:

  • Advertisement of Income Statistics
  • FRC Framework
  • MAS Guidelines on Environmental Risk Management: Disclosures & Research and Portfolio Construction, Governance, Portfolio Risk Management
  • Advertisement of Income Statistics

IMAS 13th Regulatory:Legal:Compliance Roundtable

IMAS 13TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

During the Roundtable, members discuss the implementation of: (i) MAS Guidelines on Individual Accountability and Conduct, and (ii) MAS Information Paper: Culture…

IMAS 13TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

11 Dec 2020 (Fri) | 3pm to 5.20pm (SGT)

During the Roundtable, members discuss the implementation of: (i) MAS Guidelines on Individual Accountability and Conduct, and (ii) MAS Information Paper: Culture and Conduct Practices of Financial Institutions from an asset manager’s perspective.

Topics discussed include:

  • Governance & Control Framework
  • Performance & Consequence Management
  • Fit & Proper
  • Identification of Senior Managers and Material Risk Personnel (MRP)

The Roundtable materials are available below:

IMAS 12th Regulatory:Legal:Compliance Roundtable

IMAS 12TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

The following topics were discussed at the Roundtable:

  • MAS’ Guidelines on Individual Accountability and Conduct…

IMAS 12TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

29 Nov 2019 (Fri) | 1.30pm to 5.00pm (SGT)

The following topics were discussed at the Roundtable: 

  • MAS’ Guidelines on Individual Accountability and Conduct
  • OTC Derivative Trade reporting requirement (“traded in Singapore”) for holders of CMS licence

In addition, there was also be an update on the amendments to the IMAS’ Guidance Notes on Recommended Disclosures to Support the Presentation of Income Statistics in Advertisements (RDPA).

IMAS 11th Regulatory:Legal:Compliance Roundtable

IMAS 11TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

The following topics were discussed at the Roundtable: 

  • Update on IMAS’ Guidance Notes on Recommended Disclosures to Support the Presentation of Income Statistics in Advertisements (RDPA)…

IMAS 11TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

17 May 2019 (Fri) | 2.00pm to 5.00pm (SGT)

The following topics were discussed at the Roundtable: 

  • Update on IMAS’ Guidance Notes on Recommended Disclosures to Support the Presentation of Income Statistics in Advertisements (RDPA)
  • Minimum hours of structured CPD training required under SFA 04-N09 – Operational challenges
  • Culture and Conduct Assessment – Are you ready for this?

IMAS 10th Regulatory:Legal:Compliance Roundtable

IMAS 10TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

The following topics were discussed at the Roundtable: 

  • MAS Response to Feedback on Proposed Liquidity Risk Management Guidelines…

IMAS 10TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

12 October 2018 (Fri) | 1.30pm to 5.00pm (SGT)

The following topics were discussed at the Roundtable: 

  • MAS Response to Feedback on Proposed Liquidity Risk Management Guidelines
  • MAS Response to Feedback on Proposed VCC Framework
  • Best Execution of Customers’ Orders

IMAS 9th Regulatory:Legal:Compliance Roundtable

IMAS 9TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

The following topics were discussed at the Roundtable: 

  • Liquidity Risk Management…

IMAS 9TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

20 April 2018 (Fri) | 1.30pm to 5.00pm (SGT)

The following topics were discussed at the Roundtable: 

  • Liquidity Risk Management
  • Best Execution of Customers’ Orders
  • Guidance Notes on Recommended Disclosures to support the Presentation of Income Statistics in Advertisement

IMAS 8th Regulatory:Legal:Compliance Roundtable

IMAS 8TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

The following topics were discussed at the Roundtable: 

  • Impact analysis on amendments to the Securities and Futures Act…

IMAS 8TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

27 October 2017 (Fri) | 3.00pm to 5.30pm (SGT)

The following topics were discussed at the Roundtable: 

  • Impact analysis on amendments to the Securities and Futures Act
  • Implications of robo-advisory on compliance management
  • Aftermath of MAS’ Outsourcing Guidelines for FMCs

IMAS 7th Regulatory:Legal:Compliance Roundtable

IMAS 7TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

The following topics were discussed at the Roundtable: 

  • MiFID II Implementation…

IMAS 7TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

21 April 2017 (Fri) | 3.00pm to 5.30pm (SGT)

The following topics were discussed at the Roundtable: 

  • MiFID II Implementation
  • MAS’ Amendments to Code on CIS and IMAS Guidance Notes on Recommended Disclosures to Support Yield Presentation in Advertisements
  • MAS’ Outsourcing Guidelines & IMAS’ Guidance on Determination of Outsourcing for FMCs

IMAS 6th Regulatory:Legal:Compliance Roundtable

IMAS 6TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

The following topics were discussed at the Roundtable: 

  • Common Reporting Standard…

IMAS 6TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

14 Oct 2016 (Fri) | 2.30pm to 5.30pm (SGT)

The following topics were discussed at the Roundtable: 

  • Common Reporting Standard
  • MAS Outsourcing Guidelines
  • Fund Liquidity Risk Management

IMAS 5th Regulatory:Legal:Compliance Roundtable

IMAS 5TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

The following topics were discussed at the Roundtable: 

  • Common Reporting Standard…

IMAS 5TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

22 Apr 2016 (Fri) | 3.00pm to 5.30pm (SGT)

The following topics were discussed at the Roundtable: 

  • Common Reporting Standard;
  • Advertisements on Collective Investment Schemes;
  • CPD Hours Requirement for Fund Management Companies
  • Feedback on IMAS Guidance to Assessing AML/CFT Risk

IMAS 4th Regulatory:Legal:Compliance Roundtable

IMAS 4TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

The following topics were discussed at the Roundtable: 

  • AML/CFT Notices and Guidelines–post roll-out challenges and considerations…

IMAS 4TH REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

16 Oct 2015 (Fri) | 3.00pm to 5.00pm (SGT)

The following topics were discussed at the Roundtable: 

  • AML/CFT Notices and Guidelines–post roll-out challenges and considerations
  • OTC Derivatives Trade Reporting
  • Common Reporting Standards (CRS)
  • Product Incentives for Financial Advisors

IMAS 3rd Regulatory:Legal:Compliance Roundtable

IMAS 3RD REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

The following topics were discussed at the Roundtable: 

  • AML/CFT Notices and Guidelines…

IMAS 3RD REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

23 Apr 2015 (Thu) | 3.30pm to 5.30pm (SGT)

The following topics were discussed at the Roundtable: 

  • AML/CFT Notices and Guidelines
  • Outsourcing Guidelines
  • Compliance Audit for ASEAN CIS Framework
  • FATCA Due Diligence

IMAS 2nd Regulatory:Legal:Compliance Roundtable

IMAS 2ND REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

The following topics were discussed at the Roundtable: 

  • New MAS’ Notice and Guidelines on Outsourcing and their Challenges…

IMAS 2ND REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

15 Oct 2014 (Wed) | 3.30pm to 5.30pm (SGT)

The following topics were discussed at the Roundtable: 

  • New MAS’ Notice and Guidelines on Outsourcing and their Challenges
  • Training/Learning Needs from a Compliance Professional Standpoint and Compliance Resourcing Challenges
  • Soft Dollar Commission/Arrangements
  • Operational Considerations in ASEAN Cross Border Offering of CIS

IMAS 1st Regulatory:Legal:Compliance Roundtable

IMAS 1ST REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

The following topics were discussed at the Roundtable: 

  • Practical Treatment of Efficient Portfolio Management (EPM)…

IMAS 1ST REGULATORY / LEGAL / COMPLIANCE ROUNDTABLE

25 Sep 2013 (Wed) | 3.30pm to 5.30pm (SGT)

The following topics were discussed at the Roundtable: 

  • Practical Treatment of Efficient Portfolio Management (EPM)
  • Post-Implementation on PHS, CKA, and other Additional Certifications
  • Global and Regional Issues
  • Risk Management
  • Tax Due Diligence

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