Jasmin Kwan

Experience

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  Messrs. Yew Huoi & Associates

  Jan 2016 - Jul 2017

  Trainee Lawyer

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

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  RHB Investment Bank Berhad

  Jul 2017 - Jul 2018

  Executive, Regulatory Compliance

  • Drafting of Operation Manual for Research Regulatory Compliance Department• Assisting Section Head to conduct review programmes to monitor the 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 the company • Assisting Section Head to prepare training materials for do’s and don’ts of a licensed Research Analyst to comply with the applicable regulations • Preparing securities declaration forms through Outlook • Conducting research on regulations and preparing gap analysis for compliance• Reviewing analysts’ logs for roadshows, press release and meetings to ensure compliance with internal company policies• Review of research materials to ensure the required format is met, for example disclaimer Tunjukkan kurang

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  BOS Wealth Management Malaysia Berhad (subsidiary of Bank of Singapore)

  Jul 2018 - Jan 2021

  Legal Counsel

  • Drafting of legal documentation for fund establishment (Feeder Fund and Unit Trust Funds), such as Trust Deeds, agreements with external Fund Manager• Review of standard business agreements, such as Outsourcing Agreements/Service Level Agreements, Tenancy Agreements, Non-Dislosure etc• Review of common Fund Management related agreements, such as Private Mandates for Institutional/High Net Worth Clients, Soft Commission• Advising Business Units on transfer of deceased’s assets within Unit Trust Accounts to the executor appointed according to the wills/court order• Conducting legal research for Head of Legal on regular topics involving protection of personal data • Conducting legal gap analysis on the anti-bribery and anti-corruption regulation• Other common Investment related agreements such as Securities borrowing and lending, research engagements Tunjukkan kurang

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  CGS International Securities Singapore

  Jan 2021 - Jan 2023

  Legal Counsel

  • Review of Securities Borrowing Lending Agreements including GMSLA and the addendums• Review of documentation governing derivative transactions such as Over-The-Counter, Swaps, Options etc.• Review of Distribution Agreements, disclaimers for Investment Research• Review of documentation for Shariah-Compliant Futures Contract• Review of Engagement Agreement/Letter, General Terms and Conditions• Review of agreements for licensed services• Review of collaborative and referral agreements, terms and conditions for campaigns • Performing legal due diligence exercises and liaising with external legal counsels to ensure effective project planning and execution • Liaising with external legal counsels to ensure effective case management• Review of mandate/appointment letters for custodian-client arrangement• Evaluating and assessing legal risks from review of contracts and providing legal advice and support to relevant business units to mitigate legal risks• Translation of agreements and correspondences to multiple languages (Malay-English-Mandarin)• Preparation of weekly litigation report • Review of Non-Disclosure Agreements• Providing legal advice and support to business units in understanding legal processes and documentation Tunjukkan kurang

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  Federation of Investment Managers Malaysia (FIMM)

  Jun 2023 - now

  Legal & Regulatory Affairs