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Why are we hosting this event?

Intense regulatory scrutiny and complexity is the new norm in Asian private banking and wealth management. In the wake of various challenges stemming from tax-related initiatives, scandals like 1MDB and control failings like BSI, among others – organisations of all types and sizes are grappling with how to stay compliant, yet in way which also ensures their business remain viable.

Enforced business changes, policy and process overhauls, and personal accountability are putting everyone under more pressure – and at greater conduct risk – than ever before. 

The industry needs to find sustainable and technology-driven solutions that are going to appease ever-watchful and worried regulators 

 

Who is it for?

The agenda is designed to inform and educate individuals at all levels who need to be vigilant in upholding and enforcing regulatory and compliance obligations – within Private Banks, Retail Banks, Independent Wealth Management Firms, Family Offices, IFAs, Insurance Companies and Asset Managers.

This includes, on the one hand, CEOs, COOs and other senior management, along with heads of compliance, operations, legal and risk management. As well as practitioners working in the middle and back offices. The event is also for all client-facing individuals at different financial institutions and wealth management firms.

 

What will you learn?

The agenda will address some of the challenging issues you face in terms of ensuring you and your organisations understand your responsibilities, take them seriously and put in place the required controls and checks. This addresses topics and themes such as – 

•    How can you 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?

 

SPEAKERS

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