Jasmin Muhd Ikhwan Kwan

• Conducted preliminary evaluations to assess validity and severity of complaints, by identifying breaches of FIMM's regulations and other relevant regulations, or insufficient evidence for case pursuit

• Prepared and submitted monthly reports to relevant regulatory body

• Prepared case files for referral to relevant regulatory body

• Engaged in investor education and protection initiatives by preparing presentation materials highlighting common non-compliance/breaches by Distributor and Consultants with mitigating/preventive measures to be taken, and delivering presentations

• Maintained a systematic case management register and coordinated with internal departments for matters related to registration, industry development and investor education

• Conducted periodic legal reviews, including Non-Disclosure Agreements (NDAs) and Services Agreements, and facilitated understanding of legal review processes across all internal departments.

• Established and maintained a comprehensive repository of precedent cases and discuss differentiation of cases during case deliberation

• Reviewed survey questions for establishment of investment guide towards sustainable investing

• Reviewed Securities Borrowing Lending Agreements including GMSLA and addendums

• Reviewed documentation governing derivative transactions such as Over-The-Counter, Swaps, Options etc.

• Reviewed Distribution Agreements, disclaimers for Investment Research

• Reviewed documentation for Shariah-Compliant Futures Contract

• Reviewed Engagement Agreement/Letter, General Terms and Conditions

• Reviewed agreements for licensed services

• Reviewed collaborative and referral agreements, terms and conditions for campaigns

• Performed legal due diligence exercises and liaised with external legal counsels to ensure effective project planning and execution

• Liaised with external legal counsels to ensure effective case management

• Reviewed mandate/appointment letters for custodian-client arrangement

• Evaluated and assessed legal risks from review of contracts and provided legal advice and support to relevant business units to mitigate legal risks

• Translated agreements and correspondences to multiple languages (Malay-English-Mandarin)

• Prepared weekly litigation report

• Reviewed Non-Disclosure Agreements

• Provided legal advice and support to business units in understanding legal processes and documentation

• Drafted legal documentation for fund establishment (Feeder Fund and Unit Trust Funds), such as Trust Deeds, agreements with external Fund Manager

• Reviewed standard business agreements, such as Outsourcing Agreements/Service Level Agreements, Tenancy Agreements, Non-Dislosure etc

• Reviewed common Fund Management related agreements, such as Private Mandates for Institutional/High Net Worth Clients, Soft Commission

• Provided legal advice to Business Units on transfer of deceased’s assets within Unit Trust Accounts to executor appointed according to wills/court order

• Conducted legal research for Head of Legal on personal data protection and regulations

• Conducted legal gap analysis on anti-bribery and anti-corruption regulation

• Other common Investment related agreements such as Securities borrowing and lending, research engagements

• Assisted in drafting of Operation Manual for Research Regulatory Compliance Department

• Assisted Section Head to conduct review programmes to monitor activities of RHB Research Institute Sdn Bhd and its analysts through reviews of securities trading, Research Restricted List, licensing (renewal and first-time application for newly onboarded analysts) and review of research materials published by company

• Assisted Section Head to prepare training materials for do’s and don’ts of licensed Research Analyst to comply with applicable regulations

• Prepared securities declaration forms through Outlook

• Conducted research on regulations and preparing gap analysis for compliance

• Reviewed analysts’ logs for roadshows, press release and meetings to ensure compliance with internal company policies

• Reviewed research materials to ensure required format is met, for example disclaimer

Handled civil litigation matters mainly breach of contract, winding up, bankruptcy, divorce petitions, division of matrimonial assets and small estate transfer.