Ahmad Faiz Ab Latiff Email & Phone Number

Kuala Lumpur, My

Federal Territory Of Kuala Lumpur, Malaysia

Conflict of Interest Management, Chinese Wall and Personal Account Dealing.- Assessing conflict for CIMB Group's investment banking deals. - Providing conflict clearance to the business unit within CIMB Group for investment banking deals (e.g. Corporate finance, equity capital market, debt capital market, project financing etc).- Managing Material Non-public Information and Chinese Wall.- Maintaining trading restriction and research restriction list.- Providing clearance for equity research reports and pre-deal reports (IPO) prior to publication.- Assessing covered division's staff personal account dealing

Kuala Lumpur, Malaysia

- Member of the working group of Digital Asset Framework: i. Digital Asset Exchange under Guidelines on Recognised Market; andii. Initial Exchange Operator for initial coin offering and Digital Asset Custodian under Guidelines on Digital Asset.- Representing SC Malaysia on the development of Professional Mobility Framework under Asian Capital Market Framework (ACMF)- Heavily involved in enhancing Trading Representative and Marketing Representative framework, as well as dual licensing fast track programme.- Contribute to the development of new SC system for licence and registration applications, as well as for report submission by regulated entities. - Involved in yearly revision of the SC Licensing Handbook and industry briefing.

Bukit Kiara, Kuala Lumpur

- Assessing licence application for investment bank, stock broking, fund management company, corporate finance company, research analyst and financial planner.- Assessing regulated entities business plan, internal policies and procedures, fit and properness of key personnel.- Assessing end to end compliance status of regulated entities under the SC.- Involved in investigation of non-compliance or breach of the SC guidelines or regulations by regulated entities and licensed persons.

Kuala Lumpur, Malaysia

Kuala Lumpur, Malaysia

Kuala Lumpur, Malaysia

Bachelor Of Science (B.Sc.), (Management Mathematics)

Certification, General Translation, Good

Completed translation course by Malaysian Institute of Translation and Books, the leading translation organisation and publisher.

Spm