{"id":1032,"date":"2025-05-07T09:36:49","date_gmt":"2025-05-07T09:36:49","guid":{"rendered":"https:\/\/iqeq.com\/hk\/case-studies\/integrating-compliance-policies-procedures-and-programmes-for-a-global-merger-between-two-multinational-fund-managers\/"},"modified":"2026-01-06T13:45:15","modified_gmt":"2026-01-06T13:45:15","slug":"integrating-compliance-policies-procedures-and-programmes-for-a-global-merger-between-two-multinational-fund-managers","status":"publish","type":"case_study","link":"https:\/\/iqeq.com\/hk\/case-studies\/integrating-compliance-policies-procedures-and-programmes-for-a-global-merger-between-two-multinational-fund-managers\/","title":{"rendered":"Integrating compliance policies, procedures and programmes for a global merger between two multinational fund managers"},"content":{"rendered":"
\n

Case study<\/p>\n

The client, their challenge<\/h2>\n

Following a merger between two multinational fund management companies, our client needed help managing the complicated task of integrating two sets of compliance policies, procedures and monitoring programmes \u2013 one from each of the partners in the merger \u2013 spanning a number of jurisdictions in Asia including Hong Kong, Singapore, Australia, India and Japan, where the internal compliance teams had a number of competing priorities that also required solutions.<\/p>\n

Our solution<\/h2>\n

We assembled our regulatory compliance experts to provide a gap analysis of the current applicable rules and regulations in each location, comparing them against the client\u2019s existing policies and procedures. Where the results of the analysis showed that refinements or additional procedures were required, the project coordinator communicated that guidance to the client. At the same time, inconsistencies between the sets of documents and between local, regional and global policies were highlighted to ensure the framework governing the client\u2019s Asian operations was fully coherent and integrated.<\/p>\n

From there, IQ-EQ assisted the client\u2019s compliance team in compiling local and regional matrices of reporting and notifications requirements to be incorporated into the client\u2019s overall compliance monitoring programme. Finally, our LearningHub team prepared compliance induction training materials for the client\u2019s employees to alert them to the changes in procedures prior to the employees\u2019 certification of attestation to the new compliance framework.<\/p>\n

The results<\/h2>\n

The client\u2019s board and senior management can be assured that their compliance policies and procedures across the region are clear and well-understood by staff, reflect the current regulatory requirements as well as the actual internal operating environment and can take reasonable comfort that the risk of compliance breaches has been reduced.<\/p>\n

Need similar support? Contact<\/a> our experienced Asia Regulatory Compliance team today.<\/h4>\n <\/div>\n<\/section>\n\n
\n
\n

Key contacts<\/h2>\n
\n
\n \n \"\" <\/a>\n \n \"\" <\/a>\n
\n

\n Philippa Allen<\/a>\n <\/h3>\n

Head of Sales, Regulatory Compliance, Strategic Relationships, EMEA, Japan & India<\/p>\n

<\/div>\n

Hong Kong<\/p>\n \n Send email <\/a>\n \n +852 31800480 <\/a>\n \n Full profile <\/a>\n

\n \n LinkedIn<\/span>\n <\/a>\n <\/div>\n <\/div>\n <\/div>\n
\n \n \"\" <\/a>\n \n \"\" <\/a>\n
\n

\n Yishan Lee<\/a>\n <\/h3>\n

Managing Director, Regulatory Compliance, APAC<\/p>\n

<\/div>\n

Singapore<\/p>\n \n Send email <\/a>\n \n +65 6532 5746 <\/a>\n \n Full profile <\/a>\n

\n \n LinkedIn<\/span>\n <\/a>\n <\/div>\n <\/div>\n <\/div>\n <\/div>\n
\n <\/div>\n <\/div>\n <\/section>\n","protected":false},"excerpt":{"rendered":"","protected":false},"featured_media":1033,"menu_order":0,"template":"","expertise":[37,17],"service_category":[39],"class_list":["post-1032","case_study","type-case_study","status-publish","has-post-thumbnail","hentry"],"acf":[],"yoast_head":"\nIntegrating compliance policies, procedures and programmes for a global merger between two multinational fund managers | IQ-EQ Hong Kong<\/title>\n<meta name=\"description\" content=\"IQ\u2011EQ helped integrate compliance policies, procedures and training across Asia following a cross-border merger of two fund managers. 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