Ashley Yao is a Chief Compliance Officer at Aegon Investment Management (Shanghai) Co.,Ltd.
Aegon Investment Management (Shanghai) Co.,Ltd
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Chief Compliance OfficerAegon Investment Management (Shanghai) Co.,LtdShanghai, China
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Chief Compliance OfficerAegon Private Fund Management (Shanghai) Co.,Ltd Feb 2021 - PresentShanghai1. Work close with Risk and compliance team, legal function in headquarter to enhance and monitor the compliance management in local office. 2. Coordinate with group compliance officer to conduct compliance monitoring. 3. Provide legal support to local team and support the group legal counsel. 4. Responsible for QDLP PFM license application and ongoing change registration. 5. Support BOD and management to set up regular meetings, and prepared the meeting minutes and meeting materials. 6. Review… Show more 1. Work close with Risk and compliance team, legal function in headquarter to enhance and monitor the compliance management in local office. 2. Coordinate with group compliance officer to conduct compliance monitoring. 3. Provide legal support to local team and support the group legal counsel. 4. Responsible for QDLP PFM license application and ongoing change registration. 5. Support BOD and management to set up regular meetings, and prepared the meeting minutes and meeting materials. 6. Review the marketing and roadshow materials, review contract and other legal documents. 7. Regular check on the information disclosure materials, account opening materials and client information. 8. Support the local AML, Data Privacy, CRS management. 9. Liaisons with SFO, AMAC, SAFE, other regulars and law firms. 10. Assist with external audit and financial matters. Show less
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Head Of Legal & ComplianceNomura Investment Management (Shanghai) Co.,Ltd May 2018 - Apr 2020Shanghai
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Senior Legal CounselCib Fund Management Co.,Ltd. Sep 2016 - 2018Shanghai City, China- Responsible for providing the legal opinions to business departments and fund projects;- Responsible for review the fund contracts and other legal documents;- Responsible for dealing with claims and legal disputes;- Keep up with the new regulation development in the fund management industry.
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Legal CounselHft Investments Apr 2015 - Sep 2016上海- Responsible for providing the legal opinions to business departments and fund projects;- Responsible for review the fund contracts and other legal documents;- Responsible for dealing with claims and legal disputes;- Keep up with the new regulation development in the fund management industry. -
AttorneyLiaoning Hengxin Law Firm, Shanghai Office May 2013 - Feb 2015Dalian, Liaoning, China-Research and Analysis in complicated legal issues and write memos;-Conduct legal due diligence in IPO, PE and refinancing projects and write reports;-Providing the legal opinions to clients.
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AttorneyChen & Co. Law Firm Jan 2011 - Mar 2013上海-Research and Analysis in complicated legal issues and write memos;-Conduct legal due diligence in IPO, PE and refinancing projects and write reports;-Providing the legal opinions to clients.
Frequently Asked Questions about Ashley Yao
What company does Ashley Yao work for?
Ashley Yao works for Aegon Investment Management (Shanghai) Co.,ltd
What is Ashley Yao's role at the current company?
Ashley Yao's current role is Chief Compliance Officer.
What schools did Ashley Yao attend?
Ashley Yao attended 复旦大学.
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ashley yao
Finance Officer At Suzhou Singapore International SchoolChangzhou-Wuxi-Suzhou Metropolitan Area1ssis-suzhou.net -
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