Aaron is a director in the Compliance and Regulatory Consulting practice at Duff & Phelps, servicing clients across the Hong Kong and Singapore offices.

Aaron started working with Duff & Phelps from 2018. He works closely with clients on complex global regulatory matters and individual cross border compliance issues surrounding their businesses across various jurisdictions, including U.S. regulatory matters, as well as the MAS in Singapore, SFC in Hong Kong and other European and Middle East regulatory bodies.

Aaron has in-depth experience with respect to Dodd Frank, the U.S. 1933 Securities Act, the 1934 Exchange Act and the 1940 Advisers Act. Aaron has also previously focused on OFAC Sanctions, AML/KYC, Terrorism Financing Policies and Procedures, Regulatory Due Diligence reviews, institutional asset allocator requirements, FCPA work, financial crime and improper trading as well as having extensive knowledge of legal structuring in Cayman, BVI and other common asset management jurisdictions.

Aaron’s experience spans former roles including serving as Head of Global Compliance for a $1bn+ global asset manager where he worked closely with the MAS, DFSA (Dubai), and other regulatory bodies, as well as his time at a $10bn+ asset manager where he co-led various departments including regulatory, compliance, fund structuring, due diligence among others.

Extensive compliance, regulatory and operational experience as senior team member at asset managers across 10+ years on Wall Street and throughout Asia:

  • Broad knowledge of Dodd Frank, 33’/34’/40’ Act in US, as well as AIFM, MiFID, OFAC Sanctions, FATCA Filings & Forms as well as Trade Based Money Laundering, including building Policies and Procedures and steps necessary to avoid breaches.
  • United States focused regulatory/compliance: Code of Ethics, Compliance Manuals, Personal Dealing Policies, Conflict of Interest, Best Execution, AML/KYC and other Policies and Procedures required under US RIA/ERA.
  • Deep knowledge and familiarity with respect to commercial/legal/regulatory/compliance due diligence matters for underlying asset managers from the perspective of a large global Fund of Funds, which included negotiating unique and customized fees, liquidity and other critical terms for institutional investors. Widespread understanding of redemption and liquidity terms in various PPMs, IMAs, Side Letters, etc.
  • AML/KYC specialist with respect to trade based movements and cross border requirements. Responsible for hundreds of reviews and approvals in OFAC Sanctioned countries and under complex UN/EU/U.S. economic sanction lists.
  • Financial crime experience and reviews reflecting potential global repercussions with various U.S., European, Asian and Middle Eastern jurisdictions and regulatory bodies.
  • Knowledge of “How To” receive regulatory approvals globally; experience obtaining QFII in China (CSRC & SAFE), as well as approvals in India (SEBI), South Korea (FSS), as well as various African and South American countries.
  • Expertise with regulatory visits (planned and surprise) and extensive understanding and familiarity with regulatory sweeps, exams and other regulator communications in U.S. and Asia. Includes training programs and mock audits.

Aaron holds a Bachelor degree from American University in Washington D.C. (U.S.) in Communication, Legal Studies, Economics and Governmental Affairs. 

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