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A culture of compliance is ingrained into every process and employee at APS
APS’ compliance systems and culture were built by a former senior law enforcement officer of Singapore. Before becoming the Chief Compliance Officer of APS, Mr Sim Poh Heng was the Deputy Commissioner of Police, Director of the Central Narcotics Bureau and Director of Operations at the Internal Security Department of Singapore. During his 15-year tenure at APS, Mr Sim fostered a compliance culture that is ingrained into every process as well as every employee and officer of the firm.
The compliance department reports directly to the Board of Directors and apprises the Board of new regulations and APS’ compliance activity on a regular basis. The department tracks all activities within APS to ensure compliance with all applicable laws and regulations as well as rules of conduct set out by APS. These include a Code of Ethics, trading clients’ accounts, employees’ personal trading, marketing activity, client reporting and adherence to investment management agreements, just to name a few areas.