Compliance and Regulatory Challenges in private wealth management for 2021

Ralf has over 16 years of legal and compliance experience in the financial industry and holds a Master of Law from the University of Zurich. He kicked off his compliance career at Zürcher Kantonalbank and went on to perform various legal and compliance roles at Credit Suisse both in Switzerland and abroad.

Rolf Haudenschild is heading Ingenia Consultants Pte. Ltd., a leading compliance and internal audit provider to external asset managers, fund management companies and fintech companies in Singapore. He regularly works with financial institutions for their licensing with the Monetary Authority of Singapore (MAS), produces compliance frameworks, manages compliance workflows for multiple financial institutions and advises on regulatory questions. Before establishing a compliance consultancy, Rolf worked with FINMA, the Swiss financial services regulator, and in legal and compliance at international and regional private banks. Rolf is a qualified attorney-at-law and holds an MLaw from the University of Berne, Switzerland, as well as an LLM in International Financial Law from King’s College London, United Kingdom. He is regularly speaking on compliance in conferences and conducting courses for industry associations and tertiary institutions.

Natalie leads Herbert Smith Freehills' financial services regulatory (FSR) practice in Singapore, covering Southeast Asia and Hong Kong (alongside the Hong Kong FSR partners). Having practised in four Asia-Pacific jurisdictions, Natalie has an in-depth understanding of the regulatory regimes and challenges that apply to firms operating in this region. Natalie's contentious experience includes advising on internal and regulatory investigations and enforcement relating to breaches of AML/CFT regulations, market misconduct, conflicts of interest, employee conduct issues, systems and controls breaches, cyber-related incidents, IPO sponsorship conduct, misleading disclosure and mis-selling. Natalie also has extensive experience advising financial institutions and fintech clients on a broad range of non-contentious regulatory and compliance matters, including AML/CFT compliance, financial services licensing, senior management accountability, culture and conduct, corporate governance, financial services M&A, cross-border marketing, suitability, virtual banking, digital token offers, payment services and the cross-border and local impact of regulatory change such as (L)IBOR discontinuation.

Stephen Yee is Head of Compliance and Risk Management for Bank Julius Baer Singapore since 2016. He is responsible for all aspects of Compliance including Regulatory and AML/KYC Compliance. He took on the additional responsibilities for Risk Management in 2020. He has held various first and second line of defence control related roles throughout his career. Stephen is originally from Australia where he graduate from the University of Sydney with a Bachelors of Economics and Accounting

Mr. Vincent Koo joined EFG Bank Singapore Branch as the Head of Compliance in August 2018. Prior to joining EFG Bank Singapore Branch, Vincent has over 25 years of working experience across various international institutions, covering audit and compliance roles, including Deloitte & Touche, Hang Seng Bank, UBS, Citibank, RBS Coutts, BNP Paribas Wealth Management and most recently Schroders Wealth Management Singapore.

Neil Thomas is the Head of Asia Pacific region for SIX, working closely with our customers to support and anticipate their data and regulatory requirements. Neil is working to deliver global data propositions to several large international banks. Prior to arriving in Asia, Neil spent a decade heading global relationships with strategic customers from SIX, primarily based out of London. Neil joined SIX from Thomson Reuters (Refinitiv) where his role focused on the investment banking and management sectors for ten years. Neil is a certified member of FISD.

Ralf has over 16 years of legal and compliance experience in the financial industry and holds a Master of Law from the University of Zurich. He kicked off his compliance career at Zürcher Kantonalbank and went on to perform various legal and compliance roles at Credit Suisse both in Switzerland and abroad.

Natalie leads Herbert Smith Freehills' financial services regulatory (FSR) practice in Singapore, covering Southeast Asia and Hong Kong (alongside the Hong Kong FSR partners). Having practised in four Asia-Pacific jurisdictions, Natalie has an in-depth understanding of the regulatory regimes and challenges that apply to firms operating in this region. Natalie's contentious experience includes advising on internal and regulatory investigations and enforcement relating to breaches of AML/CFT regulations, market misconduct, conflicts of interest, employee conduct issues, systems and controls breaches, cyber-related incidents, IPO sponsorship conduct, misleading disclosure and mis-selling. Natalie also has extensive experience advising financial institutions and fintech clients on a broad range of non-contentious regulatory and compliance matters, including AML/CFT compliance, financial services licensing, senior management accountability, culture and conduct, corporate governance, financial services M&A, cross-border marketing, suitability, virtual banking, digital token offers, payment services and the cross-border and local impact of regulatory change such as (L)IBOR discontinuation.

Yvonne Lim is the Regional Head of Legal and Compliance for DBS’ Consumer Banking Group and Wealth Management business. She has over 18 years’ experience in legal, compliance and regulatory risk management functions, including 12 years in leading financial institutions. She has an in-depth understanding of the legal and regulatory issues pertaining to the consumer banking and wealth management business, with broad-ranging expert knowledge in corporate law, banking and securities regulations, payment services regulations and AML/CFT requirements in key financial markets. Yvonne started her career as a corporate lawyer with one of the leading firms in Singapore and read law at the National University of Singapore.

Michael has an extensive background in financial services in Asia, Europe and North America. He has been in Asia-Pacific since 1995 – first in Hong Kong for six years, then in Sydney and Singapore, returning to Hong Kong in 2007. Before setting up Hubbis in early 2009, Michael founded Pacific Prospect in 2002 and sold it to global business-to-business publisher Incisive Media in 2006, continuing to serve as Chief Executive Officer until October 2008. Prior to Pacific Prospect, Michael worked for nine years in financial markets publishing. He joined Euromoney Publications in 1993 as the publisher of a quarterly magazine, International Bond Investor. In 1995, Michael joined Thomson Financial Services (now Thomson Reuters) to conceive and launch Finance Asia magazine. While he was Managing Director of Finance Asia, Michael also started the Asian Debt Review, Asian Private Capital Magazine and started the Finance Asia Conference Business. In 1997, Michael founded FIA Limited. Born in North Wales, Michael was head boy of St David’s College Llandudno. He has a degree in Business Administration from Cardiff University. And is married with three children - Reanna, Garett and Tarryn.