ASIFMA Compliance Asia Conference 2022

Tuesday to Thursday, 28-30 June, Virtual

OVERVIEW

Objective

This flagship event in Asia for compliance was “designed by the industry for the industry” where over 1,000 industry representatives from sell-side, buy-side, regulators, law firms, consultants and media come together to meet and discuss the latest compliance issues, emerging trends, and practical applications to strengthen the compliance programs.

2021 Highlighted Themes and Topics:

Enforcement Trends
Financial Regulatory Trends Globally and Asia
Regulator’s Perspective: Looking back and Looking ahead
Covid-19: The Evolving Impact on Markets and Business Operation
Conduct, Culture and Accountability Regime: Coordination across Different Countries

Review details from our 2021 event here.

2022 Event Details:
Day 1: REGULATORY OUTLOOK
Tuesday, 28 June 2022
9:00am-01:00pm (HKT/CST/SGT) (Time Zone Converter)
Virtual access

Day 2: OPERATION AND THE TALENT POOL
Wednesday, 29 June 2022
9:00am-12:15pm (HKT/CST/SGT) (Time Zone Converter)
Virtual access

Day 3: TECHNOLOGY AND INNOVATION
Thursday, 30 June 2022
9:00am-12:15pm (HKT/CST/SGT) (Time Zone Converter)
Virtual access

Language: English

Program Format: This three half-day virtual conference will feature keynote speeches, panel discussions, and branded demos. The event will be conducted in English and will offer CPT attendance letters for delegates that attend full sessions of the conference.

For more details about the event or if you would like to join the speaking faculty contact Shinah Beaulieu, Director – Head of Events and Conferences (sbeaulieu@asifma.org).
For sponsorship, contact Joy Balboa, Manager – Marketing and Business Development (jbalboa@asifma.org).

Lead Sponsor

Platinum Sponsors

Gold Sponsors

AGENDA

At ASIFMA, we are committed to ensuring diversity and inclusion in our workplace and this policy is applied in all areas of our business including speaker roles at our events and conferences. We wish to work with members and partners who share this same commitment and are willing to support this policy.

Download the working agenda

Agenda

DAY 1	REGULATORY OUTLOOK
09:00 – 09:05	Welcome Remarks Patrick Pang, Managing Director – Head of Compliance and Tax, ASIFMA
09:05 – 09:08	Opening Remarks B.C. Tan, Director, Risk Special Services, Thomson Reuters
09:08 – 09:20	Opening Keynote Julia Leung, Deputy Chief Executive Officer and Executive Director, Intermediaries, Securities and Futures Commission (SFC)
09:20-10:15	Panel 1: Regulator’s Perspective: Looking Back and Looking Ahead Challenges faced in 2021: a year in review – Crypto/CBDC and digital; greenwashing; remote working and Sanctions and war What’s keeping us awake at night Looking and planning ahead – priorities and key themes How will the role of regulators evolve? Panelists: Rebecca Thorpe, Partner, Head of Asia, Bovill Phakawa Jeasakul, Resident Representative for Peoples Republic of China Hong Kong Special Administrative Region, International Monetary Fund Ruenvadee Suwanmongkol, Secretary-General, Securities and Exchange Commission Thailand Niall Coburn, Regulatory Intelligence Expert, Thomson Reuters Moderator: Catherine Simmons, MD & Head of Government Affairs, Asia Pacific, Citi
10:15-11:10	Panel 2: COVID-19: The World Two Years On – the Evolving Impact on Markets and Business Asia and the pandemic 2.5 years on: How has the COVID-19 affected the markets? Do we comprehend the full extent of the pandemic? How does the industry work efficiently and support flexibility during Covid-19 outbreak; lesson learnt? Operational resilience and what lessons are learnt from COVID-19 pandemic? How do we collaborate with regulators to turn BCP into BAU? Vaccination, travel and working from home Outlook: what the world looks like going forward? Panelists: Priya Kundamal, General Manager and Head of Data Repository (Singapore), DTCC Paul Hedley, Head of Regulatory Compliance, Global Banking and Markets, Asia Pacific, HSBC Dr Ahmed Fahmy, Regional Medical Director, Assistance Services, Northern Asia, International SOS June Lau, Senior Vice President, Head of APAC Compliance, State Street Bank and Trust Company Avalon Ingram, Head of Financial Crime Compliance, Data Intelligence and Cyber Initiatives, APAC & METIA, SWIFT Moderator: Laurence Van der Loo, Executive Director – Tech & Ops, ASIFMA
11:10-12:05	Panel 3: ESG Risk Management and Greenwashing Environmental risk management obligations of banks and asset managers Integrating climate considerations into existing risk modelling frameworks (global practices, local context) Product labeling Lessons from implementation Panelists: Philippa Allen, CEO and Founder, ComplianceAsia Armen Dallakyan, Director, Ernst & Young Advisory Services Ian Drew, Head of Climate and Nature Related Risk, Asia Pacific, HSBC Carol Ngai, Senior Manager, Investment Products, Securities and Futures Commission (SFC) Helen Chan, Regulatory Intelligence Expert, Thomson Reuters Moderator: Hannah Cassidy, Partner, Head of Financial Services Regulatory, Asia Herbert Smith Freehills
12:05-12:55	Panel 4: ESG Disclosures Data availability and accessibility Future trends, local and international initiatives including ISSB standards and assurance of data Panelists: Henri DeBranche, Head of APAC ESG Advisory, JP Morgan Eddie Ng, Partner, Business Reporting and Sustainability, KPMG Elaine Ng, International Affairs and Sustainable Finance, Securities and Futures Commission (SFC) Benjamin Soh, Co-founder and Managing Director, STACS Moderator: Yvette Kwan, Executive Adviser, Asset Management Group (AAMG), ASIFMA
12:55-13:00	Closing Remarks Patrick Pang, Managing Director – Head of Compliance and Tax, ASIFMA

DAY 2	OPERATION AND THE TALENT POOL
09:00 – 09:05	Welcome Remarks Patrick Pang, Managing Director – Head of Compliance and Tax, ASIFMA
09:05 – 09:08	Opening Remarks David Scott, Asia-Pacific Financial Services Risk Management Leader, Ernst & Young Advisory Services
09:08 – 09:20	Opening Keynote Arthur Yuen, Deputy Chief Executive, Hong Kong Monetary Authority
09:20-10:15	Panel 1: Cross Border Business Arrangements Frameworks What are the five most common areas of concern for entities and individuals? Regulatory ability for licensed reps to undertake regulated activities offshore What are some of the practical solutions? Panelists: Evan Lam, Partner, Ashurst Irene Yiu, Head of Global Markets Transversal Compliance Office, BNP Paribas Rushabh Mehta, Partner, Consulting, Ernst & Young Advisory Services Richard Mazzochi, Partner, King & Wood Mallesons Moderator: Peter Hopkins, Managing Director, Head of Markets Compliance – Asia, Australia and New Zealand Banking Group (ANZ)
10:15-11:10	Panel 2: A Look at Selected Regimes in Progress – Mandatory Reference Checks and Investor ID Implementation challenges Meeting the timeline Meeting the objectives Panelists: Ranadip Datta, Managing Director, Risk & Compliance, Protiviti Natalie Curtis, Partner, Singapore, Herbert Smith Freehills Andy Li, Chairman, Mandatory Reference Checking Scheme Committee, Hong Kong Association of Bankers; Head of Resourcing, Asia, Standard Chartered Bank Stanley Cheung, Executive Director, Compliance, JP Morgan Helen Fok, Partner, Simmons & Simmons Moderator: Manesh Samtani, Editor and General Manager, Regulation Asia
11:10-12:05	Panel 3: Talent: Challenges and Opportunities in Recruiting, Fostering and Upskilling Challenges faced in 2022 – Managing Covid-19 Attracting and retaining talent and does location matter? How has the role of the compliance officer been evolving? What are the top three areas compliance should be taking action now? Any future opportunities and challenges for compliance and legal? Compliance officers of the future Embracing innovation and technology; data risk – what tools are compliance officers looking at? Panelists: Dilipkumar Sahu, SVP – Head – International Compliance Asia, Edelweiss Wealth Management Sue de Broglio, Head of Compliance – Asia, Macquarie Group Adam Johnston, Country Market Leader, Protiviti Moderator: Sumeet Chatterjee, Asia Finance & Markets Editor, Reuters News
12:05-12:10	Closing Remarks Patrick Pang, Managing Director – Head of Compliance and Tax, ASIFMA

DAY 3	TECHNOLOGY AND INNOVATION
09:05 – 09:12	Welcome Remarks Patrick Pang, Managing Director – Head of Compliance and Tax, ASIFMA
09:12 – 09:15	Opening Remarks Tom Jenkins, Partner, Head of Financial Risk Management, Hong Kong, KPMG China
09:15-10:15	Panel 1: RegTech Adoption – The Way Forward RegTech adoption, legacy systems and rollout How AI and big data will transform banking in future? Compliance challenges for remote working environment Will it make regulatory compliance easier or even raise the bar higher? What are the leading technologies in regulations? RegTech adoption and strategies Panelists: Aveline San, Managing Director and Chief Compliance Officer, APAC, Citi Kelly-Ann McHugh, Director Asia-Pacific, MyComplianceOffice Felix Cheung, Founding Chairman, RegTech Association of Hong Kong Simon Young, Head of Compliance, Hong Kong, DBS Bank Chivy Chan, Senior Vice President and Singapore Head of Compliance, Haitong International Securities Group Moderator: Brian Tang, Founding Executive Director, LITE Lab@HKU; Managing Director, ACMI; Board Member, Fintech, Association of Hong Kong
10:15-11:10	Panel 2: Cross Border, Data Sharing & Data Privacy What are some of the restrictions on cross-border data sharing in Asia that pose a problem for financial institutions? How do international firms operating in various Asia jurisdictions, navigate the maze of data privacy regulations? Why is such data important for financial institutions? What types of laws and regulations might financial institutions breach if they do not have access to such data? What are the challenges for compliance people in this area? Panelists: Eugenie Shen, Managing Director – Head of Asset Management Group, ASIFMA Tauseef Hussain, APAC Head of Privacy Compliance and Operational Risk, Bank of America James Zheng, Partner, Management Consulting – Financial Services, KPMG Xun Yang, Partner, Llinks Law Offices, China Moderator: Joyce Chen, Senior Regulatory Reporter APAC, PaRR, ION Analytics
11:10-12:05	Panel 3: Surveillance: Keeping up with Innovation and Challenges in the Region What are the typical signs and red flags? What are the market practice and monitoring measures? Getting assurances on the surveillance system E-commerce and communication platforms available Ensuring the surveillance ‘rules’ are appropriate Monitoring for relevant external sanctions and whether surveillance should/would pick it up Meeting challenges in global businesses that run across distinct entities What would be the regulator’s expectation and regulatory guidance? How are AI, machine learning and data analytics tools being used in surveillance? COVID-19: how are firms and regulators responding to new risks and managing the increasing digitization in workplace? What are the key components of a great surveillance program? Changes to surveillance due to remote work environment and evolving expectations Recent disciplinary actions involving electronic communications surveillance and challenges onrecord retention of communication apps Panelists: James Andronis, Senior Manager – Market Supervision, Australian Securities and Investments Commission Cigdem Winegarden, Chief Compliance Officer, Optiver B.C. Tan, Director, Risk Special Services, Thomson Reuters Clara Chiu, CEO, QReg Advisory; Former Fintech Head & Licensing Director of HK SFC Fei Fang Ong, APAC Compliance Surveillance Lead, Wells Fargo Moderator: Irene Lee, Board of Directors, Fintech Association of Hong Kong
12:05-12:10	Closing Keynote Patrick Pang, Managing Director – Head of Compliance and Tax, ASIFMA

Sponsorship opportunities:

To effectively engage this esteemed audience and connect with the global and regional community, various sponsorship packages with speaking slots and marketing opportunities are available for ASIFMA members and non-members offering unparalleled branding exposure and lead generation. Financial institutions, vendors, consultants and law firms are particularly encouraged to join as sponsors.

For more information on sponsorship and opportunities contact Joy Balboa, Manager – Marketing and Business Development (jbalboa@asifma.org)

Marketing:

The conference is promoted through the engagement of ASIFMA members in Asia and internationally, and by leveraging the contacts and connections of the event endorsers and media partners. Last year we had over 30 event endorsers and multiple media partners supported our event.