Rodney Lim

Head of Compliance Asia ex Japan
Nikko Asset Management

IBF Fellow (2015)

Compliance

"Strengthening of one's regulatory knowledge and best practices sharing and implementation improves our industry's professionalism."

Biography

Rodney currently heads the compliance teams at an asset management company, and provides compliance and regulatory oversight for his firm's businesses in the Asian region. He has about 16 years of working experience in asset management, wealth management and audit/advisory businesses and is knowledgeable in advising cross-border business strategies, on/off-shore fund registrations and launches, trading and counterparty risk assessments, and outsourcing, operational, technology and governance arrangements in post-acquisition, integration and change environments.

Rodney also heads the IMAS Regulatory Committee since May 2013 with an objective to encourage the deepening of regulatory engagement and strengthening of knowledge sharing amongst its member companies so as to improve on the level of professionalism and to augment the public's respect, trust and confidence of the Singapore's Investment Management industry and its members. In doing so, Rodney with help from his Regulatory Committee members, will continue to organise regulatory dialogues, members' roundtable discussions and knowledge sharing forum, to promote elevated level of awareness and adherence with, and best-practice knowledge of both existing and new, local and global regulations affecting our local industry. Rodney is also a member of the CMFAS Examination Board since January 2014 to assist the IBF in providing greater governance structure to and ensuring the continuous quality and integrity of the CMFAS examinations.

Rodney has a Master of Science in Applied Finance, and is a Singapore Chartered Accountant and a Fellow of The Association of Chartered Certified Accountants.