Personal Information
Organization / Workplace
Selangor, Malaysia Malaysia
Occupation
Head of Compliance-Futures and Equities trading
Industry
Finance / Banking / Insurance
About
 Liaison person between the Exchange/Regulator and the company on compliance issues.
 Advising the management and personnel of the company in relation to conformity to all rules and regulations inclusive of recommending remedial action to the company in the event of non-compliance and to see to its successful implementation
 Ensuring that any regulatory changes are properly implemented within the company and to ensure strict adherence there to
 Establishing an effective and quick mechanism of resolving problems that may arise which pertain to compliance.
 Held constant and regular meetings with the supervisory personnel and dealer’s representatives pertaining to issues ...
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