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.

Jan 21

Compliance in Asian Wealth Management Forum 2016

Westin Hotel, Singapore

Featured Partners
All Partners

A community of leading organisations within Asian Wealth Management

Featured speakers
All event speakers

Senior figures in Asian Wealth Management are speaking at this event

Andrew Au

AG Delta2

Simon Wong

AGDelta

Keith Harrison

Abacare

Lian Chuan Yeoh

Allen & Overy

Kevin Chua

Amicorp Group

Vincent Koo

BNP Paribas Wealth Management

Claudia Fritsche

BRP Bizzozero & Partners

Rolf Haudenschild

BRP Bizzozero & Partners

Why you should attend Hubbis events

Connect

Connectivity across Private Banking, Independent Wealth Management, Retail Banking, Asset Management, Insurance, Technology, Professional Services and other communities.

Learn

Find out how the industry can develop further & lessons it can learn from elsewhere. Improve skills and knowledge through a practical, enjoyable and interactive learning experience.

Enjoy

Hubbis events are not only consistent, relevant, engaging and unique but also highly positive, and fun experiences.

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Event Agenda
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  • 9.00am

    Welcome Address

  • 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

    Michael Stanhope

    Founder & Chief Executive Officer

    Hubbis

    Speakers

    Patrick Dreyfuss

    COO Wealth Management Group

    DBS Bank

    Stefan Kuhn

    Head of Compliance, Private Banking, South-east Asia

    Credit Suisse

    Eng Huat Kong

    Chief Executive Officer, Singapore and South-East Asia

    EFG Bank

    David Vignola

    Head, Legal & Compliance

    Standard Chartered Private Bank

    Andrew Chow

    Head of Compliance, S.E. Asia

    BNP Paribas

    Andrew Au

    Founder & Chief Executive Officer

    AG Delta2

  • 10.00am

    Presentation - How to turn Compliance Burdens into Business Benefits

    Mark Buesser

    Chairman

    IMTF

    • Understanding where the complexity lays (Regulations vs Processes)
    • Getting Guidance & Control of Stakeholders & Systems
    • Designing & Defining a flexible approach
  • 10.20am

    Refreshment & Networking

  • 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

    Michael Stanhope

    Founder & Chief Executive Officer

    Hubbis

    Speakers

    Rolf Haudenschild

    Country Head, Singapore BRP

    BRP Bizzozero & Partners

    Kit de Halpert

    Co-Head of Asia-Ex Japan Private Wealth Management Compliance

    Goldman Sachs

    Gerallt Owen

    Head of International Regulatory & Corporate Crime

    Withers KhattarWong

    Vincent Koo

    Regional Head of Wealth Management Compliance, Asia Pacific

    BNP Paribas Wealth Management

    Tan Woon Hum

    Partner

    Shook Lin & Bok

  • 11.30am

    Presentation - Technology for Compliance. Saving Grace or More Headache?

    Simon Wong

    Head of Sales

    AGDelta

    • 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?
  • 11.50am

    Head - to - Head Q & A - What do Common Reporting Standards mean for you?

    Gerallt Owen

    Head of International Regulatory & Corporate Crime

    Withers KhattarWong

  • 12.00pm

    Presentation - Cross Border Challenges

    Claudia Fritsche

    Partner

    BRP Bizzozero & Partners

    • 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?
  • 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

    Michael Stanhope

    Founder & Chief Executive Officer

    Hubbis

    Speakers

    Koh Hoe Shin

    Vice President, Chief Partnership Distribution Officer

    Manulife

    Byron Murphy

    Director Wealth Management

    Swiss-Asia Financial Services

    Joseph Kwok

    President at Financial Planning Association of Singapore

  • 1.05pm

    Lunch & Networking

  • 2.05pm

    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

    Michael Stanhope

    Founder & Chief Executive Officer

    Hubbis

    Speakers

    Joanna Yap

    Partner, Tax & Private Client

    RSM Singapore

    Kenneth Chia

    Head, Risk Control & Governance, Private Bank, Asia Pacific

    ANZ

    Julia Leong

    Partner, Wealth Management

    PricewaterhouseCoopers

    Kevin Chua

    Head of Legal and Compliance ==

    Amicorp Group

    Lian Chuan Yeoh

    Counsel

    Allen & Overy

    Stephanie Magnus

    Principal

    Baker McKenzie

  • 2.50pm

    Presentation - Financial Planners Professionalism & Compliance

    Joseph Kwok

    President

    Financial Planning Association of Singapore

    • 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?  
  • 3.15pm

    Refreshment & Networking

  • 3.45pm

    Presentation - Understanding the implications of tax transparency

    Kwong Wing Leon

    Partner, Head of Tax & Private Client

    Withers KhattarWong

    • The exchange of information in practice
    • Leaking bankers
    • Conspiracy to evade tax
    • The articulate witness
  • 4.15pm

    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

    Michael Stanhope

    Founder & Chief Executive Officer

    Hubbis

    Speakers

    Evelyn Koh

    Head, Network Compliance, Wealth Management

    Standard Chartered Bank

    Francis Seo

    Head of Bancasurance

    Great Eastern Life Assurance

    Eileen Giam

    Partner, Compliance & Risk in Southeast Asia

    Deloitte

    Steve Knabl

    Chief Operating Officer & Managing Partner

    Swiss-Asia Financial Services

    Keith Harrison

    Chief Executive Officer

    Abacare

  • 5.00pm

    Forum Ends

Jan 21

Compliance in Asian Wealth Management Forum 2016

Westin Hotel,Singapore

Speakers

Andrew Au

AG Delta2

Simon Wong

AGDelta

Keith Harrison

Abacare

Lian Chuan Yeoh

Allen & Overy

Kevin Chua

Amicorp Group

Vincent Koo

BNP Paribas Wealth Management

Claudia Fritsche

BRP Bizzozero & Partners

Rolf Haudenschild

BRP Bizzozero & Partners

Stephanie Magnus

Baker McKenzie

Stefan Kuhn

Credit Suisse

Patrick Dreyfuss

DBS Bank

Eileen Giam

Deloitte

Byron Murphy

Globaleye

Mark Buesser

IMTF

Joseph Kwok

IPP Financial Advisers

Andrew Chow

Julius Baer

Koh Hoe Shin

Manulife

Kenneth Chia

PwC

Julia Leong

PwC

Joanna Yap

RSM Singapore

Tan Woon Hum

Shook Lin & Bok

David Vignola

Standard Chartered Bank

Evelyn Koh

Standard Chartered Bank

Steve Knabl

Swiss-Asia Financial Services

Leon Kwong Wing

Withers KhattarWong

Gerallt Owen

Withers KhattarWong

Jan 21

Compliance in Asian Wealth Management Forum 2016

Westin Hotel,Singapore

Partners

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Jan 21

Compliance in Asian Wealth Management Forum 2016

Westin Hotel,Singapore