Aaron Weiss is a managing director in the Duff & Phelps Compliance and Regulatory Consulting practice, based in both Hong Kong and Singapore. He services clients across Asia Pacific, on regulatory and compliance matters, relating to the Hong Kong SFC, the U.S. SEC, NFA and MAS in Singapore.

Aaron has extensive experience with respect to local licensing requirements, regulatory inspections, as well as other regulatory compliance matters as they relate to US Dodd Frank, the U.S. 1933 Securities Act, the 1934 Exchange Act and the 1940 Advisers Act, the Securities and Futures Act in Singapore and the Securities and Futures Ordinance in Hong Kong. 

Aaron’s background includes key areas such as Regulatory and Operational Due Diligence, institutional asset allocator requirements, Foreign Corrupt Practices Act, OFAC Sanctions, AML & KYC issues (including combating Terrorism Financing throughout Asia-Pacific), & other financial crime matters and market misconduct.

Aaron’s prior experience includes positions as Head of Global Compliance for a Singapore based global asset manager where he worked closely with Asia, US and Middle Eastern regulatory bodies, as well as his time at a large US based global asset manager working on US, Asia and European regulatory compliance matters.

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Other Areas We Can Help

MAS Licensing

Comprehensive MAS licensing support.

MAS Licensing

M&A Due Diligence

Analysis of regulatory risk for M&A transactions.

M&A Due Diligence

By Jurisdiction

Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance

By Jurisdiction
Supply Chain Risk Management Services

Supply Chain Risk Management Services

Helping clients build resiliency by proactively identifying, assessing, mitigating and monitoring their hidden supply chain risks.

Supply Chain Risk Management Services

Insights

Transfer Pricing

Asia's Response to the COVID-19 Impact – Transfer Pricing Documentation, Benchmarking and APAs

Transfer Pricing
Compliance

Duff & Phelps (Ireland) Management Company Limited Approved as an AIFM and UCITS Management Company in Ireland

Compliance
Compliance

Global Enforcement Review 2020 - AML

Compliance
Compliance

Forbearance – What Does the “New Normal” Look Like for Consumer Credit Firms?

Compliance

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