Ashley Yao

Ashley Yao Email and Phone Number

Chief Compliance Officer @ Shanghai, China
Shanghai, China
Ashley Yao's Location
Pudong, Shanghai, China, China
About Ashley Yao

Ashley Yao is a Chief Compliance Officer at Aegon Investment Management (Shanghai) Co.,Ltd.

Ashley Yao's Current Company Details
Aegon Investment Management (Shanghai) Co.,Ltd

Aegon Investment Management (Shanghai) Co.,Ltd

Chief Compliance Officer
Shanghai, China
Ashley Yao Work Experience Details
  • Aegon Investment Management (Shanghai) Co.,Ltd
    Chief Compliance Officer
    Aegon Investment Management (Shanghai) Co.,Ltd
    Shanghai, China
  • Aegon Private Fund Management (Shanghai) Co.,Ltd
    Chief Compliance Officer
    Aegon Private Fund Management (Shanghai) Co.,Ltd Feb 2021 - Present
    Shanghai
    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… 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
  • Nomura Investment Management (Shanghai) Co.,Ltd
    Head Of Legal & Compliance
    Nomura Investment Management (Shanghai) Co.,Ltd May 2018 - Apr 2020
    Shanghai
  • Cib Fund Management Co.,Ltd.
    Senior Legal Counsel
    Cib Fund Management Co.,Ltd. Sep 2016 - 2018
    Shanghai 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.
  • Hft Investments
    Legal Counsel
    Hft 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.
  • Liaoning Hengxin Law Firm, Shanghai Office
    Attorney
    Liaoning Hengxin Law Firm, Shanghai Office May 2013 - Feb 2015
    Dalian, 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.
  • Chen & Co. Law Firm
    Attorney
    Chen & 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.

Ashley Yao Education Details

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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