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 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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