Prudential Control

The Legal & Compliance department is responsible for compliance matters and liaises with the Securities Commission to ensure that all laws, regulations, code of conduct and prudential limits are followed.

The Head of Legal & Compliance is the designated person responsible for compliance and he reports to the Board of Directors on compliance matters. In the event that the Head of Legal & Compliance is absent, or has resigned, the next-person-in-line will be the designated person responsible for compliance matters until such position is filled.

Designated Person Responsible For Compliance Matters

Ariff Firman bin Mohd Sidek
Head, Legal & Compliance

  • Ariff graduated with a Bachelor of Laws with Honours (LL.B (Hons)) from Universiti Teknologi Mara in 2008. Soon after graduating, he started his career as a Deputy Public Prosecutor and Federal Counsel with the Attorney General’s Chambers. 
  • He subsequently moved into the financial regulatory scene when he was appointed as a Legal Counsel in Bank Negara Malaysia (the Bank) where he was actively involved in enforcing financial laws in Malaysia by conducting criminal and civil litigation cases on behalf of the Bank. 
  • His experience is further enhanced when he joined the Legal and Regulatory Affairs Department of the Federation of Investment Managers Malaysia (FIMM). He was responsible in providing legal guidance and also regulatory enforcement for the unit trust industry in Malaysia. 
  • Bachelor of Legal Studies (Hons) (UiTM), Bachelor of Laws (Hons) (UiTM), Post-Graduate Diploma in Syariah Law and Practice (UiTM), Qualified Advocate & Solicitor of the High Court of Malaya.