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?
Compliance in Asian Wealth Management Forum 2017
Westin Hotel, Singapore
A community of leading organisations within Asian Wealth Management
Senior figures in Asian Wealth Management are speaking at this event
Sanjoy Sen
ANZ
Matthew Maddocks
ANZ
Stephanie Magnus
Baker McKenzie
Gary Ong
Bureau van Dijk
Stefan Kuhn
Credit Suisse
Sin Yee Koh
Duff & Phelps
Philipp Piaz
Finaport
Kit de Halpert
Goldman Sachs
Why you should attend Hubbis events
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INDEPENDENT WEALTH MANAGEMENT FORUM - Singapore 2024
Westin Hotel, Singapore
Hubbis was delighted to host the 2024 Independent Wealth Management Forum in Singapor...
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8.40am
Registration
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9.00am
Welcome Address
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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
ANZStefan Kuhn
Head of Compliance, Private Banking, South-east Asia
Credit Suisse Private BankingIsay Lifshitz
Head, Wealth Management Client On-boarding and Lifecycle Management, and Head, Group Operations Wealth Management Asia-Pacific
UBSStephen Yee
Head of Compliance, Singapore
Bank Julius BaerSinyee Koh
Director
Duff & PhelpsSteven Seow
Head of Wealth Management, Asia
MercerChair
Speakers
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10.00am
Presentation - Mutualising the cost of compliance with a smart solution
- Addressing the complexity of regulations
- Opportunities for technology and digital channels
- Achieving client centricity and efficiency with ICOS/2
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10.15am
Refreshment & Networking
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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
HubbisPanel members
Evelyn Koh
Head, Compliance, Private Banking Clients, Singapore
Standard Chartered BankGary Soh
Chief Compliance & Operations Officer
Nexus Financial ServicesWoon Hum Tan
Partner
Shook Lin & BokRolf Haudenschild
Country Head, Singapore
BRP Bizzozero & PartnersSpeakers
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11.35am
Presentation - Compliance in 2017 for trust and corporate service providers
- Heightened scrutiny on trusts and CSP
- Increased emphasis on simple and transparent structures
- Going back to basics
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11.50am
Presentation - Beneficial ownership
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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
HubbisPanel members
Anuj Kagalwala
Asset & Wealth Management Tax Leader
PwCJoanna Yap
Partner, Tax and Private Client
Withers KhattarWongSunil Iyer
Director
Iyer Practice AdvisersAmar Bisht
Head of Wealth Strategy and Advisory
OrbiumCherry Pei
Manager, Singapore
SynpulseMark Buesser
Chief Executive Officer
IMTFSpeakers
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12.55pm
Lunch & Networking
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1.45pm
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
HubbisPanel members
Etienne Billaud
Senior Relationship Manager
SingAlliancePhilipp Piaz
Partner
FinaportAndreas Wenger
Associate Partner
SynpulseRolf Haudenschild
Country Head, Singapore
BRP Bizzozero & PartnersSpeakers
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2.30pm
Presentation - Learning and Professional Development – how can you enhance it in your organisation?
- 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?
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2.50pm
Refreshment & Networking
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3.20pm
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
HubbisPanel members
David Vignola
Head, Compliance, Private Bank and Wealth Management
Standard Chartered BankMatt Maddocks
Institutional Operational Risk, Retail Wealth & International Banking, Asia
ANZArijit Chakraborty
Senior Vice President & Chief Legal & Compliance Officer,
ManulifeDouglas Lee
Head of Compliance
Heritage Trust GroupSpeakers
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4.05pm
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
HubbisPanel members
Zane Pritchard
Head of Singapore Compliance and Operational Risk Control
UBSKit de Halpert
Co-Head of Asia-Ex Japan Private Wealth Management Compliance
Goldman SachsAlison Fidler
Head, Compliance, Wealth Markets Products & Sales
Standard Chartered BankVincent Koo
Regional Head of Wealth Management Compliance, Asia Pacific
BNP Paribas Wealth ManagementStephanie Magnus
Principal
Baker & McKenzieSpeakers
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5.00pm
Forum Ends
Compliance in Asian Wealth Management Forum 2017
Westin Hotel,Singapore
Sanjoy Sen
ANZ
Matthew Maddocks
ANZ
Stephanie Magnus
Baker McKenzie
Gary Ong
Bureau van Dijk
Stefan Kuhn
Credit Suisse
Sin Yee Koh
Duff & Phelps
Philipp Piaz
Finaport
Kit de Halpert
Goldman Sachs
Mark Buesser
IMTF
Andreas Wenger
IMTF
Sunil Iyer
IQ-EQ
Rolf Haudenschild
Ingenia Consultants
Stephen Yee
Julius Baer
Arijit Chakraborty
Manulife
Steven Seow
Mercer
Gary Soh
Nexus Financial Services
Amar Bisht
Orbium
Douglas Lee
Portcullis Investment Office
Anuj Kagalwala
PwC
Joanna Yap
RSM Singapore
Vincent Koo
Schroders Wealth Management
Tan Woon Hum
Shook Lin & Bok
Etienne Billaud
SingAlliance
Alison Fidler
Standard Chartered Bank
David Vignola
Standard Chartered Bank
Evelyn Koh
Standard Chartered Bank
Cherry Pei
Synpulse
Isay Lifshitz
UBS
Zane Pritchard
UBS Global Wealth Management
Compliance in Asian Wealth Management Forum 2017
Westin Hotel,Singapore
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Compliance in Asian Wealth Management Forum 2017
Westin Hotel,Singapore
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 [email protected].
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.
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
Panel Discussions
A viable way to meet new compliance expectations
Taking responsibility and doing the right thing for clients
Compliance in Asian Wealth Management Forum 2017
Westin Hotel,Singapore