Legal Counsel
Current• Developing and maintaining policies and procedures to ensure compliance with the fund management licensing regimes in Singapore (MAS), Hong Kong (SFC), Australia (ASIC) and the US (SEC exempt reporting adviser). • Updating the firm’s ExCo on legal, regulatory and compliance matters. • Responding to annual MAS compliance audits, internal audit and updating the firm risk matrix; submiting applications and ad-hoc notifications to regulatory authorities; assisting in responding to regulatory inspections and information requests. • Arranging, supervising and reviewing completion of regulatory surveys, periodic reporting and questionnaires, including AIFMD, DTCC, US Bureau of Economic Analysis, MAS, SFC, ASIC, AUSTRAC, SEC Form ADV, SEC Reg D, US Blue Sky filings, etc. • Monitoring fund equity positions to ensure compliance with substantial shareholder regimes, takeover code and Australia Foreign Investment Review Board rules; manage substantial shareholder filings. • Day-to-day compliance activities, including maintaining the firm’s restricted trading list, approving wall-crossings, supervising PA trading, supervising gifts and entertainment, obtaining employee certifications, monitoring for regulatory notification requirements. • Advising business development team on regulatory regimes pertaining to fund marketing and distribution in APAC (PRC, HK, Japan, Korea, Singapore and others), US, Canada and AIFM; drafting internal marketing guidelines; preparing/reviewing licensing applications and fund registrations. • Negotiating and monitoring investor side letters, ERISA thresholds and other fund-related obligations. • Providing legal and compliance training, monitoring staff training requirements.
