Helping Asian Wealth Management Communities interact

We are delighted to host our 8th Compliance in Asian Wealth Management Forum in Singapore.

Are you staying up-to-date and relevant as the compliance landscape evolves and gets increasingly complex?

This event will help you keep on top of the hot topics for 2020 - Conduct, Governance and Accountability.

Click HERE to see how much your colleagues enjoyed the forum last year.

And it’s a great opportunity to get a head-start on your CPD hours for 2020!

The Forum is exclusively designed for CEOs, COOs, Heads of Compliance, Compliance Officers, Heads of Legal, Risk Management, product gatekeepers and RM’s at Private Banks, Trusts and Fiduciary firms, Asset Management firms, Insurance Companies, Independent Asset Managers (IAM), External Asset Managers (EAM) and Multi-Family Offices (MFO).

Please view the POST EVENT report from the forum in 2019 - and you can also view all the content from the event HERE. View the PHOTOS, and VIDEO HIGHLIGHTS. And you might like to read these TESTIMONIALS from clients and see how much they LOVE COMPLIANCE.

Hubbis events are –

FUN, CONSISTENT, RELEVANT, ENGAGING AND UNIQUE

Jan 16

Compliance in Asian Wealth Management Forum 2020

Andaz Hotel, Singapore

Featured sponsors
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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

Adriel Loh

Bank of Singapore

Alison Fidler

Standard Chartered Bank

Andrew Chow

BNP Paribas

Anu Phanse

Swissquote

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.

Latest event highlights
All event highlights

Experience our latest event for yourself

Digital Wealth Asia Forum 2019

Andaz 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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Get involved in Hubbis events

Sponsor an event Hubbis offers multiple sponsorship packages within the Asian Wealth Management community.

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Event Agenda
download pdf

Morning

  • 8.30am

    Registration

  • 8.50am

    Keynote Address

    Vincent Loy

    Assistant Managing Director (Technology)

    (MAS) Monetary Authority of Singapore

  • 9.00am

    Panel discussion - Conduct - Governance – Accountability: The hot topics for 2020

    • What are the main compliance challenges for the year ahead?
    • What’s important to the business owner - how do they think about compliance and regulation?
    • Risk Heat Map 2020 – what goes up, what goes down and why?
    • How does digital help?
    • A big shift in MAS’ stance towards accountability and conduct. What does this mean to you?
    • The constantly evolving regulatory landscape: Monitoring and staying on track with implementation – what do we need to achieve this?
    • How can compliance professionals be proactive not reactive?
    • What are the challenges Compliance face during client on-boarding with the Banks? Banks are becoming more stringent and taking at least 2-3 months to open an account.
    • Whistleblowing Compliance - Reporting and training solutions relating to whistleblowing.
    • Combatting Financial Crime including Anti Money Laundering, Countering Terrorist Financing, Anti Bribery measures - where should compliance teams focus their efforts?

    Chair

    Michael Stanhope

    Founder & Chief Executive Officer

    Hubbis

    Panel Members

    Vincent Koo

    Head of Compliance

    EFG Bank

    Evelyn Koh

    Head, Network Compliance, Wealth Management

    Standard Chartered Bank

    Damian Hitchen

    CEO Singapore

    Swissquote

    Chye Kit Chionh

    Co-Founder & CEO

    Cynopsis Solutions

    Mona Zoet

    Founder

    RegPac Revolution

    Philipp Piaz

    Partner

    Finaport

  • 9.45am

    Presentation - Ethics, Values & the Compliance Paradigm

    Andrew Chow

    Compliance

    BNP Paribas

    • How conduct initiatives have altered the compliance paradigm
    • Why regulators see conduct as imperative
    • How conduct programs could be approached and developed
  • 10.00am

    Presentation - Navigating International Compliance Waters for Financial Institutions and Families

    John Shoemaker

    Registered Foreign Lawyer

    Butler Snow

    • Issue spotting between awareness and expertise
    • Tax, reporting and information exchange requirements
    • Prudent compliance standards
  • 10.20am

    Presentation - Price Transparency & Fee Disclosure in Wealth Management - Current Challenges and Solutions

    Dr. Silvio Struebi

    Partner

    Simon-Kucher & Partners

    • What are the key pricing and discount management challenges Private Banks are facing in today’s banking landscape?
    • How can an integrated pricing & discount management framework help to address these challenges?
    • How can Private Banks better balance its risk management controls, meeting the regulatory requirements while ensuring commercial feasibility?
    • What are the potential operational business impacts on price management for complying with the regulatory policies such as “Fair Dealing Guidelines” and “Treating Customers Fairly”?
    • What are the global trends for price and revenue management in the Wealth Management industry?
  • 10.40am

    Presentation - Bringing Cognitive automation into 3rd party risk assessment

    Mark Buesser

    Chief Executive Officer

    IMTF

    • Understanding relevant risks to tailor risk assessment
    • Combining enhanced technology with quality data sources
    • AI and Contextual Analysis as the base of IMTF’s I-match and Find-it
  • 11.00am

    Refreshment & Networking

  • 11.30am

    Presentation - Evolution of Compliance in Advisory and Execution

    Colin Anthony

    APAC Representative

    Lexifi

    • Pre-Trade Disclosure
    • From a static approach to a dynamic one
    • Assessing risk at the portfolio level
  • 11.50am

    Panel discussion - Suitability – Transparency – Fees

    • What have we all learnt from the UBS Fine? What does it mean?
    • Fee Charging and Transparency – do we act in the clients’ interests?
    • Does the RM incentive model need to change?
    • The Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry in Australia. How did it effect the industry?
    • Are there other practices / disclosures (e.g. retrocessions, referral fees) within wealth management which should be examined to avoid similar penalties by the MAS?
    • How do you operationalise complex regulations that impact countries that are not regulated by those regulators?

    Chair

    Michael Stanhope

    Founder & Chief Executive Officer

    Hubbis

    Panel Members

    Sin Yee Koh

    Director

    Duff & Phelps

    Alison Fidler

    Head, Conduct, Financial Crime and Compliance, Wealth Markets Products and Sales

    Standard Chartered Bank

    Natalie Curtis

    Partner

    Herbert Smith Freehills

    Adriel Loh

    Managing Director, Global Head of Compliance

    Bank of Singapore

Afternoon

  • 12.40pm

    Presentation - Are you ready for the culture and conduct revolution?

    Natalie Curtis

    Partner

    Herbert Smith Freehills

    • Why regulators are increasingly focused on senior management and individual accountability
    • Senior management/individual accountability and conduct regimes – latest developments globally
    • What you can start doing now to prepare for MAS' Guidelines on Individual Accountability and Conduct
  • 13.00pm

    Lunch

  • 14.00pm

    Presentation - CRS Audit Review

    Zac Lucas

    Founder, Head of Legal

    Centenal

    • Audit Review Process and Procedure
    • Process and Risk Management Requirements
    • CRS Anti-Avoidance, Private Client Financial Crimes and Self Incrimination
  • 14.45pm

    Panel discussion - Tax & Accountability

    • Economic Substance vs. Opaque Offshore Structures - What is the Practical Difference?
    • CRS Pre-Audit Preparation: what are the top 5 things that all Singapore Financial Institutions need to do before their first formal IRAS CRS audit assessment?
    • CRS anti avoidance and Mandatory Disclosure - has Singapore in effect introduced the CRS Mandatory Disclosure regime?
    • Tax Havens vs International Financial Centre. Cayman vs Singapore – what are the new developments you must consider?
    • Tax optimisation – what dos that really mean? What strategies can you adopt?
    • How to best obtain cooperation from clients to meet tax compliance standards?
    • What more can be done to educate clients about the potential impact on them of tax transparency?
    • Singapore Variable Capital Companies – opportunities and challenges?
    • Individual Accountability & Conduct in relation to your role and advice – what’s changing?

    Chair

    Michael Stanhope

    Founder & Chief Executive Officer

    Hubbis

    Panel Members

    Zac Lucas

    Founder, Head of Legal

    Centenal

    John Shoemaker

    Registered Foreign Lawyer

    Butler Snow

    Woon Hum Tan

    Partner, Head of Trust, Asset & Wealth Management Practice

    Shook Lin & Bok

    Laurence Lancaster

    Barrister-at-law, Group Head of Tax

    Sovereign Group

    Christina McNamara

    Associate Director, Operational Risk & Regulatory Compliance

    IHS Markit

    Shaun Zheng

    Tax Associate Director

    Nexia TS

  • 15.30pm

    Refreshment & Networking

  • 15.50pm

    Presentation - Evolving Risks in a Digital Age

    Kyra Mattar

    Partner

    PwC

    • Opportunities vs Risks: The evolving landscape of digitisation
    • Cyber Hygiene: Why it matters?
    • Tech and cyber risk management in a Digital organisation
  • 16.10pm

    Panel discussion - Digital Initiatives – Cyber - Technology - Data Protection

    • Cybercrime – what new threats are there for you?
    • Cyber Hygiene, Cloud and Ecosystem – What are the risks and how do you manage them?
    • What are the challenges relating to electronic platforms like robo advisors or digital banks?
    • Digital ID – good idea or bad idea?
    • In the region every country has its own cyber security rules and it’s difficult to make sense of what you can do or not do?
    • Banks have the challenge of dealing with the non-uniformity – what can you do?
    • Data confidentiality – do we assume there is none?
    • How do you ensure appropriate products are made available on execution-only platforms?
    • How does Technology affect the compliance profession and processes?

    Chair

    Michael Stanhope

    Founder & Chief Executive Officer

    Hubbis

    Panel Members

    Kyra Mattar

    Partner

    PwC

    Anu Phanse

    Operational Risk and Business Compliance

    Swissquote

    Andrew Chow

    Compliance

    BNP Paribas

    Daniel P. Levison

    Partner

    Morrison & Foerster

    Uthra Parameswaran

    Director - Compliance & Operations

    Propine

  • 17.00pm

    Forum End

Jan 16

Compliance in Asian Wealth Management Forum 2020

Andaz Hotel,Singapore

Speakers

Adriel Loh

Bank of Singapore

Alison Fidler

Standard Chartered Bank

Andrew Chow

BNP Paribas

Anu Phanse

Swissquote

Christina McNamara

IHS Markit

Chye Kit Chionh

Cynopsis Solutions

Colin Anthony

Lexifi

Damian Hitchen

Swissquote

Daniel P. Levison

Morrison & Foerster

Dr. Silvio Struebi

Simon-Kucher & Partners

Evelyn Koh

Standard Chartered Bank

John Shoemaker

Butler Snow

Kyra Mattar

PwC

Laurence Lancaster

Sovereign Group

Mark Buesser

IMTF

Mona Zoet

RegPac Revolution

Natalie Curtis

Herbert Smith Freehills

Philipp Piaz

Finaport

Shaun Zheng

Nexia TS

Sin Yee Koh

Duff & Phelps

Uthra Parameswaran

Propine

Vincent Koo

EFG Bank

Vincent Loy

(MAS) Monetary Authority of Singapore

Tan Woon Hum

Shook Lin & Bok

Zac Lucas

Centenal

Jan 16

Compliance in Asian Wealth Management Forum 2020

Andaz Hotel,Singapore

Sponsors

gold

Jan 16

Compliance in Asian Wealth Management Forum 2020

Andaz Hotel,Singapore

Summary

We are delighted to host the 8th Compliance in Asian Wealth Management Forum in Singapore. 

 

We have refreshed the format for the event – and we think it’s particularly relevant at a time of so much change and opportunity for the industry.

 

We have designed the forum – along with the presentations, workshops, case studies and panel discussions – to bring together key market participants to discuss and debate current best challenges, new developments and best practices in the industry.

 

The Hubbis Compliance in Asian Wealth Management event in Singapore will provide fascinating insights into the developments taking place in Asia’s wealth advisory sector in response to local, regional and global regulatory and compliance changes.

 

Underpinning almost every sphere of activity is an increasingly tight regulatory environment in virtually every jurisdiction, as well as the growing cooperation between governments across the globe.

 

Key to the content at the forum is providing insights from experts in the region and overseas markets – sharing best practices, the components of successful businesses, and lessons learned from developing and managing wealth management offerings. Covering key topics such as tax reporting and transparency, KYC and anti-money-laundering, anti-corruption, data privacy and cross border challenges.


Topics we will discuss;

 

Conduct - Governance – Accountability: The hot topics for 2020

  • What are the main compliance challenges for the year ahead?
  • What’s important to the business owner - how do they think about compliance and regulation?
  • Risk Heat Map 2020 – what goes up, what goes down and why?
  • How does digital help?
  • A big shift in MAS’ stance towards accountability and conduct. What does this mean to you?
  • The constantly evolving regulatory landscape: Monitoring and staying on track with implementation – what do we need to achieve this?
  • How can compliance professionals be proactive not reactive?
  • What are the challenges Compliance face during client on-boarding with the Banks? Banks are becoming more stringent and taking at least 2-3 months to open an account.
  • Whistleblowing Compliance - Reporting and training solutions relating to whistleblowing.
  • Combatting Financial Crime including Anti Money Laundering, Countering Terrorist Financing, Anti Bribery measures - where should compliance teams focus their efforts?

 

Suitability – Transparency – Fees

  • What have we all learnt from the UBS Fine? What does it mean?
  • Fee Charging and Transparency – do we act in the clients’ interests?
  • Sustainable Businesses in Banking – Corporate Social Responsibility – all buzz words or any substance?
  • Does the RM incentive model need to change?
  • The Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry in Australia. How did it effect the industry?
  • Are there other practices / disclosures (e.g. retrocessions, referral fees) within wealth management which should be examined to avoid similar penalties by the MAS?
  • How do you operationalise complex regulations that impact countries that are not regulated by those regulators?

 

Tax & Accountability

  • Economic Substance vs. Opaque Offshore Structures - What is the Practical Difference?
  • CRS Pre-Audit Preparation: what are the top 5 things that all Singapore Financial Institutions need to do before their first formal IRAS CRS audit assessment?
  • What are the top 5 CRS Audit Failures that Singapore Financial Institutions need to avoid?
  • Tax Havens vs International Financial Centre. Cayman vs Singapore – what are the new developments you must consider?
  • Tax optimisation – what dos that really mean? What strategies can you adopt?
  • How to best obtain cooperation from clients to meet tax compliance standards?
  • What more can be done to educate clients about the potential impact on them of tax transparency?
  • Singapore Variable Capital Companies – opportunities and challenges?
  • Individual Accountability & Conduct in relation to your role and advice – what’s changing?

 

Digital Initiatives – Cyber - Technology - Data Protection

  • Cybercrime – what new threats are there for you?
  • Cyber Hygiene, Cloud and Ecosystem – What are the risks and how do you manage them?
  • What are the challenges relating to electronic platforms like robo advisors or digital banks?
  • Digital ID – good idea or bad idea?
  • In the region every country has its own cyber security rules and it’s difficult to make sense of what you can do or not do?
  • Banks have the challenge of dealing with the non-uniformity – what can you do?
  • Data confidentiality – do we assume there is none?· How do you ensure appropriate products are made available on execution-only platforms?
  • How does Technology affect the compliance profession and processes?

 

Jan 16

Compliance in Asian Wealth Management Forum 2020

Andaz Hotel,Singapore

Past Event Highlights

 

COMPLIANCE IN ASIAN WEALTH MANAGEMENT FORUM - SINGAPORE 2019

We were delighted to host our annual Compliance in Asian Wealth Management event in Singapore.  Over 400 CEOs, COOs, CIOs, senior management, compliance officers and RMs attended – from a mix of Private Banks, Retail Banks, Insurance Companies, Independent Firms & Family Offices, and IFAs.

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.

 

CONTENT HIGHLIGHTS

Video Highlights

Video Highlights Summary PDF

Video Insights

Testimonials

I Love Compliance

Photos

Event summary

Panel discussions

Presentations & Workshops

Videos

 

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. 

 

EVENT SUMMARY

An industry aware that Regulatory and Compliance concerns are of utmost importance

Hubbis is delighted to have successfully hosted our 7th Compliance in Asian Wealth Management Forum in Singapore. The attendance was outstanding, with more than 400 delegates on the day, representing client-facing professionals and compliance experts from leading private banks operating in Asia, from Independent and External Asset Management firms, from Legal, Trust and Fiduciary firms and from Single- and Multi-Family Offices (MFOs).

 

VIDEO HIGHLIGHTS - Videos

At the Forum we interviewed leading industry experts. 
Full Video Highlights
Video Highlights Summary PDF

Video Insights
I love Compliance
Testimonials

VIDEO HIGHLIGHTS individual interviews can be accessed below: 

Adriel Loh, Bank of Singapore
Raffael Maio, NetGuardians
Daniel P. Levison, Morrison & Foerster
Andreas Wenger, IMTF
Conrad Lim, LGT Bank
Rolf Haudenschild, Ingenia Consultants
Zac Lucas, Centenal
Josh Heiliczer, EY
Tan Woon Hum, Shook Lin & Bok
Laurence Lancaster, Sovereign Group
Prof Gunter Dufey, U of Michigan Ross
Noor Quek, NQ International
Vikna Rajah, Rajah & Tann

VIDEO INSIGHTS individual interviews can be accessed below: 

Adriel Loh, Bank of Singapore
What are the opportunities and challenges for the year ahead?

Raffael Maio, NetGuardians
Risk Heat Map 2019 – what goes up, what goes down and why?
What are some of the changes in cyber-crime that we are likely to see in 2019?

Daniel P. Levison, Morrison & Foerster
The importance of “appropriate” retention of company data
Where should compliance teams focus their efforts and available resources in 2019?

Andreas Wenger, IMTF
Where should we focus attention in terms of digitisation of compliance functions this year?

Philipp Piaz, Finaport
How best to meet the challenge of finding the appropriate skillset in a millennial world?

Conrad Lim, LGT Bank
How can compliance become more effective and even cheaper?

Rolf Haudenschild, Ingenia Consultants
What are the current compliance challenges for IAMs in the year ahead?
What do the recent regulatory changes in Singapore mean for locally based IAMs?

Zac Lucas, Centenal
CRS and AEOI, MDR and beneficial ownership registers. What can we expect to be targeted next?
FATCA – Where are we on enforcement of compliance breaches?

Josh Heiliczer, EY
Unexplained Wealth Orders - Are we likely to see Asian jurisdictions follow the new UK regime?

Tan Woon Hum, Shook Lin & Bok
What more can be done to educate clients about the potential impact on them of tax transparency?
Mandatory disclosure of tax avoidance schemes to fight against “base erosion and profit sharing”

Laurence Lancaster, Sovereign Group
How to best obtain cooperation from clients to meet tax compliance standards?
Prosecution of ‘enablers’ of tax evasion

Prof Gunter Dufey, U of Michigan Ross
What more can be done to educate clients about the potential impact on them of tax transparency?

Vikna Rajah, Rajah & Tann
From the tax perspective, what are some of the challenges that Wealth Managers must consider in 2019?
What are the consequences for Wealth Advisors if they don’t take the new tax guidelines and reporting seriously?

 

EVENT CONTENT - Panel discussions

We held 6 interactive panel discussions throughout the day – which involved 27 senior industry practitioners who we invited to participate and share their thoughts. We have also incorporated into the summaries below the briefing notes which speakers sent to us in advance of the event. Plus, we have included the results of audience polling as well as questions we received from delegates. Click on each headline to view the PDFs.

 

Hot Topics & Key Trends in Compliance for 2019
The compliance and regulatory pressures on wealth management institutions continue to grow apace and institutions must take a holistic, all-inclusive approach to both solutions enabled by both human skills as well as technological advances. But amidst the global drive for regulatory rectitude, authorities in Asia are urged not to lose sight of the region’s key strengths of wealth creation and economic dynamism.

Panel Members

Adriel Loh, Managing Director, Global Head of Compliance, Bank of Singapore
Josh Heiliczer, Partner, Advisory Services, EY
Conrad Lim, Managing Director & Deputy Chief Executive Officer, Senior Regulatory Counsel Asia, LGT Bank

 

The Evolving Compliance Landscape for Independent Asset Managers
Panellists assembled at the Compliance Asian Wealth Management Forum in Singapore to share their opinions on the evolving compliance landscape for Independent Asset Managers (IAMs). While ever-increasing regulation is certainly proving to be a challenge, the more successful IAMs are ensuring they are ahead of the game by continually recalibrating and adapting.

Panel members

Anthonia Hui, Chief Executive Officer, , AL Wealth Partners
Noor Quek, Founder, Chief Executive Director, NQ International
Rolf Haudenschild, Co-Founder, Head of Regulatory & Risk Services, Ingenia Consultants
Philipp Piaz, Partner, Finaport

 

Cross-Border Business The Opportunities and the Potential Pitfalls
A panel comprising compliance experts from banks, lawyers and a risk consultant was the perfect mix for an insightful look at the pluses and minuses of cross-border business in the wealth management space. The discussion was especially pertinent with Hong Kong and Singapore both vying so energetically for pre-eminence as wealth centres in the region, and with dynamic private wealth accumulation across so many countries of Asia.

Panel members

Evelyn Koh, Head, Network Compliance, Wealth Management, Standard Chartered Bank
Sabrina Cheng, Head of Wealth Management Compliance, Singapore, BNP Paribas
Woon Hum Tan, Partner, Head of Trust, Asset & Wealth Management Practice, Shook Lin & Bok
Matthew Maddocks, Independent Risk Consultant, ORC Professional Services
Daniel P. Levison, Partner, Morrison & Foerster

 

Tax Compliance in the Transparent New World We Now Inhabit
A small panel of legal experts reflected on the immense compliance challenges facing Asia’s wealth management industry. After the rollout of new regulations such as FATCA, CRS, AEIO and other rules and directives in recent years, the panel looked at the practical impact so far and looked forward, perhaps with some further trepidation, to the next phase of regulatory forays as authorities extend their sights to alternative assets and to uncovering literally any form of irregularity they can possibly find. In this brave new world, prudence and caution must be the new watchwords.

Panel members

Vikna Rajah, Partner, Head of Tax, Trust & Private Client, Rajah & Tann Singapore LLP
Zac Lucas, Founder, Head of Legal, Centenal
Laurence Lancaster, Barrister-at-law, Group Head of Tax, Sovereign Group

 

 

EVENT CONTENT - Presentations & Workshops

Below are summaries of the Presentations and Wealth TALKS delivered at the event. These were 10-minute slots hosted either by senior industry practitioners who we invited to speak (Wealth TALKS), or by some of our event partners (Presentations). Also listed with each summary are links to the presentation slides (where these are made available by speakers). Click on each headline to view the web versions of these – from which you can also access the 1-page PDFs.

Watch Out: Singapore's New Regulatory Regime for Precious Stones and Metals
Singapore regulators are determined to leave no stone unturned in their quest to instil a robust anti-money laundering (AML) regime in the country. The Ministry of Law announced on 17 July 2018 that it would be introducing a new AML and countering the financing of terrorism (CFT) regulatory regime for precious stones and metals dealers (PSMDs). Glen Chee, Director at DWF Compliance (Singapore), told the audience at the Hubbis Compliance in Asian Wealth Management Forum in Singapore what will happen and what steps the PSMDs must take.
View Slides

Data Protection and Privacy Key Trends & Developments Affecting Asia
Charmian Aw, Counsel at law firm Reed Smith, deduces that the proposed changes to India’s data protection legislation will have a significant impact on the broader universe of data privacy and compliance for the rest of Asia. She told the audience at the Hubbis Compliance in Asian Wealth Management Forum in Singapore that as so many Asian economies are focussing heavily on the digital economy, more comprehensive and stringent data privacy legislation is inevitable.
View Slides

Next Generation Identity Matching: How to Reduce Regulatory and Operational Risk
Jordan Lo, Senior Project Manager at Swiss RegTech leader IMTF, is passionate about identity matching. He knows that the crux of dealing with many regulatory challenges is identity matching, which if properly thought through and executed, can eliminate a considerable amount of inherent regulatory and operational risks. He addressed the audience at the Hubbis Compliance in Asian Wealth Management Forum to explain IMTF’s state-of-the-art solutions, and more specifically IMTF’s cutting edge identity matching technology
View Slides

Artificial Intelligence & its Role in Compliance How the Machine Can do Better
Raffael Maio, Managing Director APAC and Cofounder of Swiss fintech NetGuardians, believes that the machine can do better. What he means by that is that AI can augment and improve on the current protocols generally employed by banks to root out non-compliant transactions and clients. He expounded on his theories at the Hubbis Compliance in Asian Wealth Management Forum in Singapore.
View Slides

Financial Services and Products: The Key Regulatory and Compliance Challenges
Rolf Haudenschild, Head of Regulatory and Risk Services for Ingenia, an independent support service provider based in Singapore, is an expert in the regulatory and compliance issues facing wealth management. Hot topics include how digitalisation requires its own tailored regulation as well as the challenges of regulatory hurdles when it comes to the cross-border promotion and sale of financial services and products. Haudenschild advises a thorough understanding of the prevailing regulatory demands. 

Data Retention: Evolving Best Practices in a World of Data Proliferation
Daniel P. Levison, Partner at law firm Morrison & Foerster in Singapore, is an expert in compliance issues concerning electronic discovery, including data preservation, and is well positioned to discuss the latest concerns and best practices for parties involved in the wealth management sector.  He addressed the audience at the Hubbis Compliance in Asian Wealth Management Forum to explain the most recent regulatory expectations and to demystify some of the increasingly complex rules of engagement.
View Slides

The Challenges to Achieve Transparency in 2019
Zac Lucas, Founder and Head of Legal at Centenal, presented a workshop covering a broad array of transparency topics, from the latest developments in the EU’s Common Reporting Standard (CRS), the challenges surrounding its implementation, as well as the types of structures that the EU’s new mandatory disclosure rules (MDR) seek to identify and eradicate and the impact on compliance operations at wealth management firms.
View Slides

 

 

Jan 16

Compliance in Asian Wealth Management Forum 2020

Andaz Hotel,Singapore