HELPING YOU DO THE RIGHT THING www.rhtcs.com
a subsidiary of RHT Holdings
OUR SERVICES COMPLIANCE SOLUTIONS Policies & Procedures Conducting gap analysis of policies, drafting and updating of customised policies and procedures in a user-friendly, practical and risk-focused manner
Advisory & Consultancy Regulatory implications of new businesses, assessing impact of new regulations, regulatory and risk matrices, developing trade surveillance framework
Applying for Regulatory Approval Advising on regulatory licences required, application for new licences/ approvals at corporate/individual levels, application for Para 9/11 approvals in Singapore Advising on setting up a syariah-compliant governance and operational framework to meet Islamic Finance requirements
Customised Training Provision of customised and interactive training for board of directors, senior management and business on governance, risk and compliance matters
Outsourced Compliance Programme Service provider of compliance programme for financial institutions and FinTech companies
Reviews & Test Checks Strategising and conducting independent test checks/reviews
Regulatory Inspections Pre-inspection strategic preparation, strategic advice during regulatory inspections, post-inspection remediation programme
Technology Risk Management ZZIT General Controls Audit ZZIT Risk Management ZZDisaster Recovery/ Business Continuity ZZVendor Risk Management ZZPenetration Testing
GOVERNANCE & RISK Regulatory Compliance Review of policies, processes and practices against relevant regulatory requirements and obligations
Risk Assessment Assess business and operational risks to determine current risk profile and identify improvement opportunities
Corporate Governance Reviews Gap analysis reviews and benchmarking against relevant Corporate Governance Codes, advise on Corporate Governance best practices and independent Board evaluation
Risk Advisory Develop new (or enhance current) Risk Management and Internal Control frameworks, formalise risk management vision and objectives, establish risk ranking/prioritisation criteria, develop risk monitoring and reporting mechanism, compliance monitoring processes
Policies & Procedures Service provider of compliance programme for financial institutions and FinTech companies
ABOUT RHT HOLDINGS RHT Compliance Solutions is a subsidiary of RHT Holdings the Leading Professional Services Group in Asia. RHT Holdings consists of five subsidiaries namely, RHT Capital, RHT Compliance Solutions, RHT Corporate Advisory, RHT i-Assets Advisory and RHT Management Services. The vision for the group is for every subsidiary to be the top of its class in each of its professional areas. Each company is led by reputable leaders in their respective fields. RHT Holdings is part of a highly networked, multi-disciplinary group of companies namely,
ABOUT US The Team comprises experienced and certified professionals with extensive regulatory, compliance and risk management experience from Singapore, Malaysia, Indonesia, Hong Kong and the broader region. The Team is well-equipped to provide clients with intelligent, risk-focused and cost-effective solutions. We have a broad range of clients: ranging from regulators, markets, payment system providers, banks, investment banks, broker dealers, commodities firms, fund managers, financial advisers, trust companies, FinTech companies and corporates. We aim to be the partner of choice not just for clients seeking to meet their regulatory obligations, but also for those eager to leverage on their compliance and risk management capabilities as a competitive advantage.
WHAT SETS US APART POLICIES & PROCEDURES The Regulatory Compliance team has immense experiences understanding the practical needs of financial institutions and corporates, having headed up compliance teams in major financial institution regionally.
ADVISORY & CONSULTANCY RHT Compliance Solutions is the first and only integrated outfit providing legal, governance, risk and compliance solutions in Singapore, Malaysia, Indonesia and Hong Kong. RHT Compliance Solutions is a subsidiary of RHT Holdings, The Leading Professional Services Group in Asia.
www.rhtcs.com RHT Compliance Solutions
Singapore > Malaysia > Indonesia > Hong Kong Š RHT Compliance Solutions Pte. Ltd. 2017
RHT Compliance Solutions Pte. Ltd. is incorporated in Singapore (UEN No. 201317144R) v003.17
CORE TEAM
Nizam Ismail Co-Founder +65 6381 6843 nizam.ismail@rhtlawtaylorwessing.com (Singapore)
Nizam Ismail is a Co-Founder of RHT Compliance Solutions. He spearheads RHT Compliance Solutions and has more than 25 years of experience and expertise in financial services regulatory compliance and litigation. Prior to his time at RHT Compliance Solutions, Nizam was the Head of Compliance for Southeast Asia of Morgan Stanley and Lehman Brothers. He undertook senior legal and compliance roles in Nomura and Citigroup. Nizam was also the Deputy Director/Division Head (Market Conduct Policy Division) of Monetary Authority of Singapore where he worked on capital markets reform, including the enactment of the Securities and Futures Act and the Financial Advisers Act.
Mohammad Ridzuan Abdul Aziz Co-Founder, Chief Executive Officer +60 19 286 5175/ +603 6206 3169 ridzuan.aa@rhtcs.com (Malaysia)
Mohammad Ridzuan Abdul Aziz is a Co-Founder and Chief Executive Officer of RHT Compliance Solutions. He has 20 years of regulatory and compliance experience in Malaysia and Asia-Pacific. Ridzuan is actively providing practical regulatory advisory and training to banks, remittance companies, fund management entities, broker dealer (equity and derivatives brokers) as well as sovereign wealth managers on regulatory requirements, governance, compliance risks management, internal policies implementation and licensing matters. He also provides advice on AML/CFT, financial technology (FinTech), regulatory technology (RegTech) and multi-faceted impact of technology adoption from compliance perspectives to various stakeholders.
Dr Pei Sai Fan Senior Consultant +65 9450 5698 saifan.pei@rhtcs.com (Singapore)
Dr Pei Sai Fan is a Senior Consultant of RHT Compliance Solutions. Sai Fan has spent 20 years in commercial banking and investment banking. He spent 14 years at the Monetary Authority of Singapore (MAS) as Director in the Banking Supervision Department and subsequently Director of MAS Academy providing capacity building for MAS and regional central bankers and regulators. Sai Fan is currently an Associate Professor of Quantitative Finance (Practice) at Lee Kong Chian School of Business at the Singapore Management University. He also teaches at Nanyang Technological University, National University of Singapore and Remin University of China as an Adjunct Professor.
Tan Chong Huat Director +65 6381 6787 chonghuat.tan@rhtlawtaylorwessing.com (Singapore)
Tan Chong Huat is the Director of RHT Compliance Solutions. He is also the Managing Partner and one of the founding members of RHTLaw Taylor Wessing where Chong Huat was a council member of Corporate Governance Council of the Monetary Authority of Singapore. He has advised financial institutions, funds and financial services entities in their regulatory and compliance obligations. Notably, Chong Huat has assisted a world leading online trading platform and the central bank of the People’s Republic of China in regulatory compliance. He has been named as a leading practitioner in many reputable professional publications such as IFLR1000 and Legal 500.
Andang Taruna Director +6221 5746 545 andang.taruna@rhtsolusi.com.id (Indonesia)
Andang Taruna is a Director of PT RHT Solusi, the Indonesian arm of RHT Compliance Solutions. Andang has had 24 years of experience in the Regulatory and Compliance in Indonesia’s Capital Markets industry. He started his career in 1991 where he joined with PT Nikko Securities Indonesia in the Operations Division. Andang joined PT Macquarie Capital Securities Indonesia (previously known as PT Barings Securities Indonesia, PT ING Securities Indonesia) in 1995, and distinguished himself with a long career. Andang is experienced in setting up and managing compliance programs, drawing from his intimate knowledge of Indonesia laws and regulations. He is also licensed as an Advocate and registered as a Member of the Indonesian Advocates Association (PERADI) since 2000.
Alvin Lu Senior Compliance Manager +65 6381 6334 alvin.lu@rhtcs.com (Singapore)
Alvin Lu is a Senior Compliance Manager of RHT Compliance Solutions. Alvin comes from a banking compliance background with his last role at OCBC Bank where he provided in-house regulatory advice and training to business units. This included liaising with the Monetary Authority of Singapore (MAS) on a variety of matters, ranging from surveys and information requests to consultation papers. Prior to that, Alvin has worked on multiple projects, including building up an Asia-Pacific anti-fraud programme, as well as setting up a regulatory obligations register; further to identifying areas of policy and procedural enhancements from the regulatory perspective.
Daniel Seet Compliance Manager +65 6381 6337 daniel.seet@rhtcs.com (Singapore)
Daniel Seet is a Compliance Manager of RHT Compliance Solutions. Prior to joining RHT Compliance Solutions, Daniel was a Compliance Associate with Bank of Singapore Private Limited where he was part of the Anti-Money Laundering surveillance monitoring team. As one of the pioneers in the newly formed surveillance team, Daniel was involved in upgrading projects for the surveillance and screening systems where he provided advice and guidance to members of the project teams. He was also pivotal in the calibration of the Bank-wide surveillance systems used for sampling and identifying potentially suspicious transactions.
Lim Hong Jie Compliance Manager +65 6381 6779 hongjie.lim@rhtcs.com (Singapore)
Lim Hong Jie is a Compliance Manager of RHT Compliance Solutions. Hong Jie joins RHT Compliance Solutions from the Monetary Authority of Singapore, where he last held the position of Assistant Director in the Insurance Department. Being in a supervisory department, Hong Jie was immersed in the continuous risk assessment of a portfolio of general insurers and reinsurers under his care. He was also heavily involved in reviewing various policy frameworks, including those relating to general insurance intermediaries and the resolution framework of insurers in Singapore.
www.rhtcs.com RHT Compliance Solutions
Singapore > Malaysia > Indonesia > Hong Kong Š RHT Compliance Solutions Pte. Ltd. 2017
RHT Compliance Solutions Pte. Ltd. is incorporated in Singapore (UEN No. 201317144R)