ASIFMA Compliance and Legal Conference 2019
ASIFMA Compliance and Legal Conference 2019
29-30 May 2019, Hong Kong
*SOLD OUT*
The event is at capacity and online registrations are closed. Please note, no walk-ins will be accepted.
Overview of the Event
Inaugural Asian conference for compliance and legal that is designed by the industry for the industry where the industry (sell-side, buy-side, regulators, law firms, consultants and media) can come together once a year to meet and discuss important issues impacting this area.
CPT/CPD Points: Upon request, ASIFMA will provide a Proof of Attendance Letter for you to apply for relevant training hours (CPT/CPD) according to your own job requirement. Please note delegates are required to sign in and sign out at the reception desk on-site.
Follow the event on Twitter/LinkedIn at #ASIFMAComplianceLegal2019.
See the conference’s photos of Day 1 and Day 2
Downlaod the Review of 2019
Gold Sponsors:
Silver Sponsors:
Media Partners:
Endorsers:
Other Sponsors:
Agenda
Please download the program here.
Day 1: Wednesday 29 May 2019
Morning Plenary Sessions
| 08:30-09:00 | Check-in, Breakfast, Networking |
| 09:00-09:15 | Keynote |
| 09:15-09:30 | Keynote – SFC |
| 09:30-10:30 | Plenary Panel 1 – State of Markets, Trends Shaping Banking and Financial Services |
| 10:30-11:30 | Plenary Panel 2 – Financial Regulatory Outlook Globally and Asia |
| 11:30-13:00 | Networking Lunch |
RegTech Demos - Compliance Stream
| 12:40-12:47 | Gekko Lab |
| 12:50-12:57 | LeapXpert |
RegTech Demos - Legal Stream
| 12:40-12:47 | Taiger |
| 12:50-12:57 | Know Your Customer |
Afternoon Breakout Streams and Concurrent Sessions - Compliance Stream
| 13:00-14:00 | Panel C1 – AI, Big Data and Robotic Process Automation: Tools for Analytics and Surveillance |
| 14:00-15:00 | Panel C2 – Financial Crime: AML, KYC and Sanctions |
| 15:00-15:45 | Coffee Break |
| 15:45-16:45 | Concurrent Roundtable C1 – Evolution of Compliance Functions |
| Concurrent Roundtable C2 – Implementation of an Appropriate Control Framework – Moving Forward | |
| 16:45-17:00 | Wrap Up |
Afternoon Breakout Streams and Concurrent Sessions - Legal Stream
| 13:00-14:00 | Panel L1 – Benchmark; Alternatives to IBORS; EU BMR |
| 14:00-15:00 | Panel L2 – Dawn Raids and Forensics |
| 15:00-15:45 | Coffee Break |
| 15:45-16:45 | Concurrent Roundtable L1 – GDPR, Data Privacy, Security & Management |
| Concurrent Roundtable L2 – Evidencing Best Execution | |
| 16:45-17:00 | Wrap Up |
Day 2: Thursday 30 May 2019
Morning Plenary Sessions
| 08:30-09:00 | Check-in, Breakfast, Networking |
| 09:00-09:05 | Welcome Remarks |
| 09:05-09:50 | Fireside Chat – Enforcement Trends |
| 09:50-10:50 | Plenary Panel 3 – China Compliance and Legal Onshore |
| 10:50-11:50 | Plenary Panel 4 – China Compliance and Legal Offshore |
| 11:50-13:15 | Networking Lunch |
RegTech Demos - Compliance Stream
| 12:55-13:02 | Miotech |
| 13:05-13:12 | Emotics |
RegTech Demos - Legal Stream
| 12:55-13:02 | LeapXpert |
| 13:05-13:12 | Onfido |
Afternoon Breakout Streams and Concurrent Sessions - Compliance Stream
| 13:15-14:15 | Panel C3 – Conduct, Certification and Culture, Use of Behavioral Cluster Analysis |
| 14:15-15:15 | Panel C4 – New Technology Risks – RegTech, Crypto, and Surveillance |
| 15:15-16:00 | Coffee Break |
| 16:00-17:00 | Concurrent Roundtable C3 – Application of Rules and Regulations to Algo and Electronic Trading – The Changing Landscape |
| Concurrent Roundtable C4 for Asset Management – Compliance around Funds Distribution | |
| 17:00 | Closing |
Afternoon Breakout Streams and Concurrent Sessions - Legal Stream
| 13:15-14:15 | Panel L3 – Brexit |
| 14:15-15:15 | Panel L4 – Automation within Legal Services |
| 15:15-16:00 | Coffee Break |
| 16:00-17:00 | Concurrent Roundtable L3 – Diversity and Building a Culture of Inclusion |
| Concurrent Roundtable L4 – Impact of Social Media and Instant Messaging on Capital Markets | |
| 17:00 | Closing |
Speakers
We were honored to have confirmed the following distinguished speakers for the conference.
Supporting Organizations
ASIFMA is now accepting sponsorships. Your support will be much appreciated!
Expecting 200-300 high-level regulators, policy makers, industry experts, sell-side and buy-side representatives, initially by invitation and then marketed to a wider audience. To effectively engage the esteemed audience and connect with the global and regional community, various sponsorship packages with speaking slot inclusion and advertising opportunities are open to ASIFMA members and non-members for more brand and marketing exposure as well as increasing lead generation. Please click to view the details of our sponsorship packages here.
Gold Sponsors:
Silver Sponsors:
Media Partners:
Endorsers:
Other Sponsors:
Event Factsheet
Download the Factsheet
Dates: Wednesday-Thursday, 29-30 May 2019 Location: Mandarin Oriental Hong Kong – The Connaught Room, 1st Floor Objective: To create a flagship annual event in Asia for compliance and legal that is designed by the industry for the industry where the industry (sell-side, buy-side, regulators, law firms, consultants and media) can come together once a year to meet and discuss important issues impacting this area. Program format: Two-day conference with keynote speeches, panels, two streams, sponsored workshops and learning labs with ample time to network. Speaker profile: Global and Asian policy makers, regulators, central banks, industry experts and senior representatives from sell-side and buy-side communities.
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. Sponsorship: Expecting event sponsors to come from legal firms, Big 4, consultants and technology utilities/ platforms.
To effectively engage the esteemed audience and connect with the global and regional community, various sponsorship packages with speaking slot inclusion and advertising opportunities are open to ASIFMA members and non-members for more brand and marketing exposure as well as increasing lead generation.
This will be supplemented by sponsored workshops and sponsored learning labs at the breaks. Limited exhibit opportunities would be available as well. Launch of an ASIFMA paper: ASIFMA may launch a project/ paper/ survey during the event and organize a follow-up meeting with regulators. Delegate profile: Expecting 200-300 high-level regulators, policy makers, industry experts, sell-side and buy-side representatives, initially by invitation and then marketed to a wider audience. Delegate fees: Admission is complimentary for selected senior regulators, media and confirmed speakers but not institutional investors or corporate treasurers as this is not a trading event. Discounted rate for members of ASIFMA and the conference endorsers with full rates for non-members.
The delegate fee structure is as follows:
Rates are set lower than competitors and in consultation with the compliance committee and the program working group at a level in order to ensure healthy attendance. Offer of multi-pass discount (e.g. buying a minimum of 10 passes) for member firms will be studied. Sponsorship packages include a fixed number of delegate passes. Marketing: The conference is promoted through engagement of ASIFMA members in Asia and internationally, and by leveraging the contacts and connections of the conference Endorsers, Media Partners, AFME and SIFMA. Media: The event is open to the press (unless specified). For all media inquiry, please contact Corliss Ruggles (cruggles@asifma.org). Role of Compliance Committee (CC) and AAMG Regulatory Committee (RC): Reference: SIFMA 2019, 24-27 March 2019, Phoenix, AZ AFME 2018, 1-2 October 2018, London
Registration Details
*SOLD OUT*
The event is at capacity and online registrations are closed. Please note, no walk-ins will be accepted.
Delegate Fee
* For ASIFMA members, guests of Endorsers and those requesting Non-Transferrable passes only, please email event@asifma.org for the Promo Codes of the discounted rates.
* Senior Representatives from Regulators may be offered complimentary registration. Please justify your roles and submit application to event@asifma.org .
*We charge in US Dollars for this event.
*Sponsoring firms and Endorsers are entitled to a fixed number of complimentary delegate passes. You may wish to check internally before registering online.
*Delegate fees do not include any travel arrangements such as accommodation or flight tickets.
Media Policy
The event is open to the press (unless specified). For all media inquiry, please contact Corliss Ruggles (cruggles@asifma.org).
Venue Location
This conference will be held at:
Mandarin Oriental Hong Kong
The Connaught Room, 1st Floor
5 Connaught Road Central, Hong Kong
