Helping Asian Wealth Management Communities interact

We were delighted to host our annual flagship compliance event in Singapore.

Who attended?

Over 300 leading compliance professionals from the top international and local Private Banks, Retail Banks, Multi-Family Offices and IFAs, as well as RMs and advisers from across the industry.

What was covered?

We focused on the following themes – 

  • How you can meet the new compliance expectations – but still make a profit?
  • 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 up enough? Or do compliance officers have to find a middle ground?
  • Disclaimers and exclusion clauses – will they destroy trust further and end the client relationship?
  • How have AML controls changed in light of AEOI, CRS and BSI / 1MDB?
  • Banks’ client acceptance policies, DDC and account-opening processes – are they too painful and restrictive now?
  • How can independent firms keep up?
  • How can I make sure a BSI-type situation doesn't happen to me?
  • Where will the next conduct enforcement shock come from?

 

 

Jan 19

Compliance in Asian Wealth Management Forum 2017

Westin Hotel, Singapore

Featured sponsors
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A community of leading organisations within Asian Wealth Management

Featured speakers
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Senior figures in Asian Wealth Management are speaking at this event

Alison Fidler

Standard Chartered Bank

Amar Bisht

Orbium

Andreas Wenger

IMTF

Anuj Kagalwala

PwC

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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Experience our latest event for yourself

Digital Wealth Asia Forum 2019

Westin Hotel,Singapore

We were delighted to host our annual event in Hong Kong for the Digital Community in Wealth Management.

More than 300 CEOs, senior management, product gatekeepers and RM’s at Private Banks, Retail Banks, IFAs. Independent Asset Management Firms (IAM), Ex...

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Event Agenda
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Morning

  • 8.40am

    Registration

  • 9.00am

    Welcome Address

    Michael Stanhope

    Founder & Chief Executive Officer

    Hubbis

  • 9.10am

    Panel discussion - How can I meet the new compliance expectations – but still make a profit?

    • 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

    Chair

    Michael Stanhope

    Founder & Chief Executive Officer

    Hubbis

    Panel Members

  • 10.00am

    Presentation - Mutualising the cost of compliance with a smart solution

    Mark Buesser

    Chief Executive Officer

    IMTF

    • Addressing the complexity of regulations
    • Opportunities for technology and digital channels
    • Achieving client centricity and efficiency with ICOS/2
  • 10.15am

    Refreshment & Networking

  • 10.45am

    Panel discussion - The blame game – in the politically correct world in which we live

    • 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

    Panel Members

  • 11.35am

    Presentation - Compliance in 2017 for trust and corporate service providers

    Douglas Lee

    Head of Compliance

    Equiom Group

    • Heightened scrutiny on trusts and CSP
    • Increased emphasis on simple and transparent structures
    • Going back to basics
  • 11.50am

    Presentation - Beneficial ownership

    Gary Ong

    Regional Manager

    Bureau van Dijk

    • Issues to consider

Afternoon

  • 12.05pm

    Panel discussion - Tax is the next big topic – in case you didn’t notice

    • 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

    Panel Members

  • 12.55pm

    Lunch

  • 13.45pm

    Panel discussion - How can independent firms keep up?

    • 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

    Panel Members

  • 14.30pm

    Presentation - Learning and Professional Development – how can you enhance it in your organisation?

    Michael Stanhope

    Founder & Chief Executive Officer

    Hubbis

    • 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?
  • 14.50pm

    Refreshment & Networking

  • 15.20pm

    Panel discussion - Living in the post-BSI world – no trust and a lot of verification required

    • 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

    Panel Members

  • 16.05pm

    Panel discussion - The inconvenient truth of risk and compliance

    • 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

    Panel Members

  • 17.00pm

    Forum End

Jan 19

Compliance in Asian Wealth Management Forum 2017

Westin Hotel,Singapore

Speakers

Alison Fidler

Standard Chartered Bank

Amar Bisht

Orbium

Andreas Wenger

IMTF

Anuj Kagalwala

PwC

Arijit Chakraborty

Manulife

Cherry Pei

Synpulse

David Vignola

Standard Chartered Bank

Douglas Lee

Equiom Group

Etienne Billaud

SingAlliance

Evelyn Koh

Standard Chartered Bank

Gary Ong

Bureau van Dijk

Gary Soh

Nexus Financial Services

Isay Lifshitz

No Company

Joanna Yap

Withers KhattarWong

Kit de Halpert

Goldman Sachs

Mark Buesser

IMTF

Matthew Maddocks

ANZ

Michael Stanhope

Hubbis

Philipp Piaz

Finaport

Rolf Haudenschild

Ingenia Consultants

Sanjoy Sen

ANZ

Sin Yee Koh

Duff & Phelps

Stefan Kuhn

Stephanie Magnus

Baker & McKenzie

Stephen Yee

Bank Julius Baer

Steven Seow

Singapore Consultancy

Sunil Iyer

IQEQ

Vincent Koo

Schroders Wealth Management

Tan Woon Hum

Shook Lin & Bok

Zane Pritchard

UBS Wealth Management

Jan 19

Compliance in Asian Wealth Management Forum 2017

Westin Hotel,Singapore

Sponsors

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silver

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Jan 19

Compliance in Asian Wealth Management Forum 2017

Westin Hotel,Singapore

Event Highlight

We were delighted to host our  compliance focused event in Singapore. Over 300 senior individuals attended – including leading compliance professionals from the top international and local Private Banks, Retail Banks, Multi-Family Offices and IFAs, as well as relationship managers and advisers from the industry.

Below for your interest and reference are links to various content we captured from the day. Please click on the orange headlines – and do send any comments or feedback to events@hubbis.com.

 

EVENT SUMMARY

Event Summary - Confronting the compliance burden

Our 5th annual event for the compliance community in Asian wealth management was an important and timely gathering in Singapore of 300-plus senior practitioners across all segments of the industry.

 

OTHER HIGHLIGHTS

 

POST-EVENT REPORT

You might also like to view the full Post-Event Report – which is a consolidated summary, including photos of speakers & delegates, the attendee profiles & some delegate feedback, polling results, and more.

 

THOUGHT LEADERSHIP

Compliance - what’s the right balance with the business?

How bankers can act and behave in a compliant way

Deepening the talent pipeline in compliance

Finding a role for RegTech to re-shape compliance


 

EVENT SURVEY

Trying to solve the compliance conundrum

 

 

EVENT CONTENT Panel discussions

A viable way to meet new compliance expectations

Taking responsibility and doing the right thing for clients

Preparing for a new approach to tax in a transparent world

Living in the post-1MDB world

The inconvenient truth of risk and compliance

Jan 19

Compliance in Asian Wealth Management Forum 2017

Westin Hotel,Singapore