Aaron Weiss

Aaron Weiss is a managing director in the Duff & Phelps' (rebranded as Kroll) Financial Services Compliance and Regulation practice, based in both Hong Kong and Singapore. He services clients across Asia Pacific, on regulatory and compliance matters, relating to the Hong Kong SFC, the U.S. SEC, NFA and MAS in Singapore.

Aaron has extensive experience with respect to local licensing requirements, regulatory inspections, as well as other regulatory compliance matters as they relate to US Dodd Frank, the U.S. 1933 Securities Act, the 1934 Exchange Act and the 1940 Advisers Act, the Securities and Futures Act in Singapore and the Securities and Futures Ordinance in Hong Kong. 

Aaron’s background includes key areas such as Regulatory and Operational Due Diligence, institutional asset allocator requirements, Foreign Corrupt Practices Act, OFAC Sanctions, AML & KYC issues (including combating Terrorism Financing throughout Asia-Pacific), & other financial crime matters and market misconduct.

Aaron’s prior experience includes positions as Head of Global Compliance for a Singapore based global asset manager where he worked closely with Asia, US and Middle Eastern regulatory bodies, as well as his time at a large US based global asset manager working on US, Asia and European regulatory compliance matters.


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Financial Services Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.

Hong Kong Regulation

Kroll provides comprehensive SFC licensing support.

Singapore Regulation

Kroll's experienced team provides practical compliance and regulatory advice to financial institutions in Singapore.

MAS Licensing

Kroll's comprehensive MAS licensing service offers full project management, thereby allowing clients' internal resources to focus on other business priorities.

Financial Crime Prevention

Financial crime risk has again risen to the top of the regulatory agenda, and remains one of the most immediate risks for many firms, with criminals constantly seeking new ways to circumvent protective controls.