- Co-founder, Ingenia Consultants Pte. Ltd. (2019 – present)
- Principal Compliance Consultant, Water Dragon Solutions Private Limited, trading as “Maroon” (merged into Ingenia Consultants Pte. Ltd.) (2012 – 2019)
- Compliance Officer (Associate Director), Bank of Singapore (2011 – 2012)
- Expert attorney at law, Swiss Financial Market Supervisory Authority FINMA (2009 – 2010)
- Attorney at law, Swiss Federal Banking Commission (2004 – 2008)
- Legal Adviser, UBS AG (2003 – 2004)
- Admission to the bar (Switzerland)
- UBS Wealth Management Certificate
- LLM in International Financial Law, King’s College London
- licentiatus iuris (equivalent to Master of Laws), University of Berne
- Member of the RegTech Sub-committee of the Singapore Fintech Association (2019 – present)
- Promoting Financial Services and Products, 17 January 2019
- E-payments User Protection Guidelines, 21 November 2018
- Guidelines on Provision of Digital Advisory Services, 23 October 2018
- MAS Enforcement Report July 2017 to December 2018, 16 April 2019
- Entering Financial Services – Locally and Internationally, 28 July 2017
- Access to the Singapore Market: A Regulatory Introduction, 25 October 2016
- Globalised Clients in a World of National Jurisdictions, 22 January 2015
Rolf Haudenschild
Rolf Haudenschild is the co-founder of Ingenia. In addition to manging Ingenia, Rolf supports financial institutions in wealth management, fund management, and fintech in obtaining their licence, assists in challenging compliance tasks and supervises internal audits.
Rolf is recognised for his expertise and practical support in compliance with regulatory requirements under the Securities and Futures Act 2001, the Financial Advisers Act 2001 and the Payments Services Act 2019. Drawing on his experience in legal and compliance with leading global and Asian private banks and a regulator, Rolf is keenly aware of regulatory risks and provides robust regulatory solutions. At the same time, Rolf’s own entrepreneurship ensures that solutions are practical, namely for smaller financial institutions, while his affinity for fintech and regtech keeps efficient and effective, cutting-edge solutions in view.
Rolf has extensive experience in regulatory compliance. He has assisted external asset managers, fund managers and payment service providers in their licensing. He has established compliance frameworks for these new financial institutions and enhanced frameworks of existing financial institutions to accommodate regulatory developments and changes in their business. He has drafted policies and procedures and created controls across regulatory topics such as corporate governance, anti-money laundering and countering the financing of terrorism, marketing and distribution, conduct, assessment of outsourced service providers, and the confirmation of accredited investors. In parallel, he is advising financial institutions on the regulatory requirements for their business and changes therein by assisting them in answering regulatory inquiries as well as the creation and implementation of suitable processes.
Rolf lectures on financial regulations and is a regular speaker on regulatory topics. He has teaching engagements with the Wealth Management Institute in Singapore and the University of Applied Sciences in Business Administration Zurich. In addition, he provided trainings in compliance for financial institutions, at the Singapore Politech, and the University of Liechtenstein as well as on regtech with the Singapore FinTech Association and presents regularly in the Hubbis Compliance in Asian Wealth Management Forum, and the Association of Independent Asset Managers.
Experience
Various external asset managers:
Applying for and successfully obtained capital markets services licences for fund management restricted to accredited and institutional investors
Various cryptocurrency platforms:
Applying for and successfully supporting the in-principle approval of a cryptocurrency platform
Various crowdfunding platforms:
Advised on regulatory requirements and restrictions in the marketing of securities
Numerous external asset managers:
Advising on the ongoing regulatory requirements, devised, developed, and administered effective compliance solutions
Numerous external asset managers:
Drafting and reviewing compliance manuals, including anti-money laundering and counter the financing of terrorism programmes and enterprise-wide risk assessment frameworks, outsourcing frameworks, conflicts of interest management
Numerous financial institutions:
Leading internal audits of financial business processes such as marketing, customer on-boarding and customer relationship management, investment management, business operations, human resources, outsourcing and more
Numerous external asset managers:
Review of client onboarding files as an outsourced compliance function
Industry association for wealth management:
Drafting of templates for accredited investor opt-in
Industry association for wealth management:
Creating templates for an enterprise-wide risk assessment of money laundering and terrorism financing risks
Confidential multi-family office:
Reviewing of compliance manual and processes
Global private bank:
Review of client files for anti-money laundering assessment
Regional bank:
Conducted training on anti-money laundering and countering the financing of terrorism
Regional private bank:
Conducted training on anti-money laundering in cryptocurrencies
Remittance house:
Advised on payment services regulations