Event Agenda
- What are the main challenges?
- AML is the big topic in Singapore. Investment suitability is the big topic in Hong Kong. What’s the difference between the approaches of these regulators?
- Is it possible to cut the cost of compliance?
- Can you navigate your way to a profitable and sustainable platform?
- With the fintech revolution underway – can the machines and the paper mesh up well? Or do compliance officers have to find a middle ground?
- There is a lot going on – how can you deal with it all?
- Can you turn risk and compliance into a competitive advantage?
- Risk heat map 2017 – what goes up, what goes down?
- What's next?
Panel members
Sanjoy Sen
Managing Director, Retail & Wealth - Asia
ANZ
Stefan Kuhn
Head of Compliance, Private Banking, South-east Asia
Credit Suisse Private Banking
Isay Lifshitz
Head, Wealth Management Client On-boarding and Lifecycle Management, and Head, Group Operations Wealth Management Asia-Pacific
UBS
Stephen Yee
Head of Compliance, Singapore
Bank Julius Baer
Sinyee Koh
Director
Duff & Phelps
Steven Seow
Head of Wealth Management, Asia
Mercer
- Addressing the complexity of regulations
- Opportunities for technology and digital channels
- Achieving client centricity and efficiency with ICOS/2
- Are the current regulations risk-averse, or do they deal with the root causes?
- Are more regulations the answer?
- Disclaimers and exclusion clauses – will they destroy trust further and end the client relationship?
- Can we reduce repetitive box-ticking?
- Will technology save us?
- Do we have a choice?
- Is it inevitable that banks will be scrutinised more closely and in a more intrusive way?
- Are regulations in the different countries drifting apart? Is there a regulatory advantage for specific financial centres?
- Can financial institutions benefit working in or from a specific financial centre?
Chair
Michael Stanhope
Chief Executive Officer & Founder
Hubbis
Panel members
Evelyn Koh
Head, Compliance, Private Banking Clients, Singapore
Standard Chartered Bank
Gary Soh
Chief Compliance & Operations Officer
Nexus Financial Services
Woon Hum Tan
Partner
Shook Lin & Bok
Rolf Haudenschild
Country Head, Singapore
BRP Bizzozero & Partners
- Heightened scrutiny on trusts and CSP
- Increased emphasis on simple and transparent structures
- Going back to basics
- Automatic Exchange of Information and the Common Reporting Standard. What’s the impact on you?
- What should you do and who are the best available providers?
- How have AML controls changed in light of BSI / Falcon Private Bank / 1MDB?
- Banks’ client acceptance policies, DDC and account-opening processes – are they too painful and restrictive now?
- The due diligence required in opening accounts. What is enough?
Chair
Michael Stanhope
Chief Executive Officer & Founder
Hubbis
Panel members
Anuj Kagalwala
Asset & Wealth Management Tax Leader
PwC
Joanna Yap
Partner, Tax and Private Client
Withers KhattarWong
Sunil Iyer
Director
Iyer Practice Advisers
Amar Bisht
Head of Wealth Strategy and Advisory
Orbium
Cherry Pei
Manager, Singapore
Synpulse
Mark Buesser
Chief Executive Officer
IMTF
- How can independent firms address complex and often conflicting regulatory regimes – especially from the perspective of implementation?
- Which banks have a competent platform qualified to serve IAM / EAM clients?
- What does a robust DDC / client on-boarding platform look like?
- What processes do we need to ensure we are not negatively impacting the client experience – and therefore discrediting the IAMs / EAMs?
- What’s the impact of different client suitability regimes in Singapore and Hong Kong on independent firms?
Chair
Michael Stanhope
Chief Executive Officer & Founder
Hubbis
Panel members
Etienne Billaud
Senior Relationship Manager
SingAlliance
Philipp Piaz
Partner
Finaport
Andreas Wenger
Associate Partner
Synpulse
Rolf Haudenschild
Country Head, Singapore
BRP Bizzozero & Partners
- Why is learning & development becoming much more important today?
- How can you generate revenue from training and have truly needs-based conversations with clients?
- What is best practice in Learning & Development within wealth management?
- How can I make sure a BSI / Falcon-type situation doesn't happen to me?
- Do we have the right checks-and-balances at every level?
- Do senior management understand the risks?
- How must I document my processes? What level of detail is required?
- What is required today in terms of the audit trail for: Sign offs; Quality control – the person who is responsible is identified; On boarding – substantiated and corroboration
- What does this mean for you?
- Do your processes need to be improved?
- What is the standard that’s required?
Chair
Michael Stanhope
Chief Executive Officer & Founder
Hubbis
Panel members
David Vignola
Head, Compliance, Private Bank and Wealth Management
Standard Chartered Bank
Matt Maddocks
Institutional Operational Risk, Retail Wealth & International Banking, Asia
ANZ
Arijit Chakraborty
Senior Vice President & Chief Legal & Compliance Officer,
Manulife
Douglas Lee
Head of Compliance
Heritage Trust Group
- How will the regulatory and enforcement environment around conduct risk evolve over the next 12 months?
- Where will the next conduct enforcement shock come from?
- How will the world’s regulators approach human mis-behaviour?
- How can authorities around the world consolidate and extend their powers of enforcement? Should they?
- Will enhanced personal accountability impact the quality of individuals applying for senior management roles?
Chair
Michael Stanhope
Chief Executive Officer & Founder
Hubbis
Panel members
Zane Pritchard
Head of Singapore Compliance and Operational Risk Control
UBS
Kit de Halpert
Co-Head of Asia-Ex Japan Private Wealth Management Compliance
Goldman Sachs
Alison Fidler
Head, Compliance, Wealth Markets Products & Sales
Standard Chartered Bank
Vincent Koo
Regional Head of Wealth Management Compliance, Asia Pacific
BNP Paribas Wealth Management
Stephanie Magnus
Principal
Baker & McKenzie