We were delighted to host our 4th annual Compliance in Asian Wealth Management Forum 2016 in Singapore in January. Around 300 key people attended – including leading compliance, operations and risk professionals, along with senior management, from the leading private banks, retail banks, IFAs independent asset managers, family offices, and other relevant wealth management organisations. Many thanks again to those people who participated in and attended the event, and especially to our partners.
Compliance in Asian Wealth Management Forum 2016
Westin Hotel, Singapore

A community of leading organisations within Asian Wealth Management

Senior figures in Asian Wealth Management are speaking at this event

Patrick Dreyfuss
DBS Bank

Leon Kwong Wing
Withers KhattarWong

David Vignola
Standard Chartered Bank

Joseph Kwok
IPP Financial Advisers

Rolf Haudenschild
BRP Bizzozero & Partners

Eileen Giam
Deloitte

Keith Harrison
Abacare

Kevin Chua
Amicorp Group
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THAILAND WEALTH MANAGEMENT FORUM 2023
Westin Hotel, Singapore
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9.00am
Welcome Address
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9.10am
Panel Discussion
What are the big issues and risks in 2016?
- What are the strategic compliance challenges confronting wealth management firms in Asia?
- What are the real costs that these represent to the business? And how big are the indirect costs of compliance?
- What are the biggest risk that your organisation faces today?
- How are you positioning the business to deal with this?
- Are there any new solutions or approaches to the problem that you could consider?
- How do you make compliance a business priority?
- Is there enough senior management buy-in to deal with this?
Chair
Speakers
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10.00am
Presentation - How to turn Compliance Burdens into Business Benefits
- Understanding where the complexity lays (Regulations vs Processes)
- Getting Guidance & Control of Stakeholders & Systems
- Designing & Defining a flexible approach
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10.20am
Refreshment & Networking
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10.50am
Panel Discussion
Lessons from the past – can we learn from recent mishaps?
- A review of 2015 issues – what caught us off guard?
- What could we have done better?
- What can compliance officers learn from these breakdowns in process or policy?
- What do client advisers / RMs need to take away from this?
- What do you need to do to prevent any repeats?
- Will you now do things differently going forward?
Chair
Speakers
Vincent KooRegional Head of Wealth Management Compliance, Asia Pacific
BNP Paribas Wealth Management
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11.30am
Presentation - Technology for Compliance. Saving Grace or More Headache?
- What is the state of technology adoption and effectiveness today around compliance management?
- Why has technology today caused more headaches in terms of compliance?
- What type of technology will enable banks to effectively control cost of compliance and drive revenue?
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11.50am
Head - to - Head Q & A - What do Common Reporting Standards mean for you?
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12.00pm
Presentation - Cross Border Challenges
- Why bother about the risks inherent to cross-border business?
- What should you consider when defining the business model for each target market?
- How do you keep track of and understand the local regulations of so many countries around the world?
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12.20pm
Panel Discussion
Are IFAs now prepared to raise the bar?
- Where are we with FAIR?
- How effectively are organisations implementing the balanced scorecard framework
- What regulations are firms most likely to fall foul of?
- What is the likely effectiveness of the new FA CPD regime?
- What processes and systems and technologies are now absolute must-haves?
Chair
Speakers
Joseph KwokPresident at Financial Planning Association of Singapore
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13.05pm
Lunch & Networking
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14.05pm
Panel Discussion
Will we ever breed a true culture of ethical compliance?
- With the focus on ethics in 2015, what have been the challenges associated with building out an ethical compliance programme?
- What are the wider implications of non-compliance across the entire organisation, starting from the bottom-up?
- Conduct risk and compliance – are the boundaries too blurred?
- What process do you have in place to spot red flags associated with non-ethical behaviour?
- What are some of the other measure that regulators – and organisations – should use to try to foster ethically compliant behaviour?
- Can we really train people to be ethical? Is it likely that behaviour will improve based on 4 hours of mandatory ethics training?
- What are the implications of the limited amount of compliance talent focusing on ethical behaviour in the market? How can the resource gaps be filled?
- How do private banks manage this risk of fraud in terms of prevention and post event remediation?
Chair
Speakers
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14.50pm
Presentation - Financial Planners Professionalism & Compliance
- How could financial planners become a professional?
- What are the professional standards & code of ethics expected of a professional?
- Would compliance with professional standards & code of ethics makes one a better financial planner?
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15.15pm
Refreshment & Networking
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15.45pm
Presentation - Understanding the implications of tax transparency
- The exchange of information in practice
- Leaking bankers
- Conspiracy to evade tax
- The articulate witness
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16.15pm
Panel Discussion
An insider’s guide on how to address compliance issues
- How should you deal with regulatory audits?
- What has changed in AML policies since July 2015?
- In the unfortunate situation where you might encounter a compliance breach, from which sector of the bank is it most likely to come? What preventative action should you take now?
- How can you train staff to be effective without losing them?
- How many terrorists have you actually caught?
- How will you deal with new AI regime in Singapore?
- How do you deal with job hopping and a strong increase of the number of staff in your compliance function?
- How do you manage hiring, on boarding, training and retaining of your compliance function?
Chair
Speakers
Francis SeoVice President Distribution Risk & Compliance, Distribution Division
Great Eastern Life Assurance
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17.00pm
Forum End
Compliance in Asian Wealth Management Forum 2016
Westin Hotel,Singapore


Patrick Dreyfuss
DBS Bank

Leon Kwong Wing
Withers KhattarWong

David Vignola
Standard Chartered Bank

Joseph Kwok
IPP Financial Advisers

Rolf Haudenschild
BRP Bizzozero & Partners

Eileen Giam
Deloitte

Keith Harrison
Abacare

Kevin Chua
Amicorp Group

Kenneth Chia
PwC

Claudia Fritsche
BRP Bizzozero & Partners

Koh Hoe Shin
Manulife

Andrew Chow
Julius Baer

Evelyn Koh
Standard Chartered Bank

Steve Knabl
Swiss-Asia Financial Services

Joanna Yap
RSM Singapore

Vincent Koo
BNP Paribas Wealth Management

Andrew Au
AG Delta2

Mark Buesser
IMTF

Byron Murphy
Globaleye

Julia Leong
PwC

Tan Woon Hum
Shook Lin & Bok

Lian Chuan Yeoh
Allen & Overy

Simon Wong
AGDelta

Stefan Kuhn
Credit Suisse

Stephanie Magnus
Baker McKenzie

Gerallt Owen
Withers KhattarWong
Compliance in Asian Wealth Management Forum 2016
Westin Hotel,Singapore

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Compliance in Asian Wealth Management Forum 2016
Westin Hotel,Singapore