Day 1: Tuesday 8 November 2016

08:00       Summit Registration Opens

08:55       MC Opening Remarks

Dean Ward, Sales Specialist Manager, Risk, Thomson Reuters

09:05       Thomson Reuters Welcoming Remarks

David Craig, President, Financial & Risk, Thomson Reuters

GLOBAL TRENDS & REGULATORY INSIGHTS

09:20       Opening Keynote Presentation

Ashley Alder, Chief Executive Officer, Hong Kong Securities & Futures Commission & Chairman, IOSCO

09:50       CEO Perspective: Key Regional & Global Trends

In this session, CEO's of key global and regional businesses will share their insight into the challenges they face due to market, financial and regulatory uncertainties, their plans to ride out the current storm, and what the future holds for the global financial industry.

Moderator: Lisa Jucca, Asia Finance Editor, Reuters
David Craig, President, Financial & Risk, Thomson Reuters
Qiumei Sophie Yang, CEO, ICI Global Asia Pacific
Tim House, Partner & Global Head of Litigation, Allen & Overy

10:40       Morning Networking Break

11:00       Asian Regulatory Environment - a regional update

  • How are global regulatory developments affecting the local regulatory environment?
  • Will it ever be possible to balance the need for global regulatory standards vs. the risks of overregulation and unintended regulatory consequences?
  • An insight in to the EU/US consultative mechanism for financial services - what does this mean for Asia?
  • Basel III/IV - implementation timelines across the region, and what will impact this
  • Where will new technology change the regulatory paradigm, in order to protect against future risks?

Moderator: Michelle Price, Asian Regulatory Correspondent, Reuters News
Rapee Sucharitakul, Secretary-General, Securities and Exchange Commission - Thailand
Mark Austen, CEO, ASIFMA
Rebecca Terner Lentchner, Head of Government Relations APAC, BNY Mellon
Mitsuo Miwa, Director and Chief Investor Relations Officer, Japan Exchange Group, Inc.

11:50       Global political & regulatory instability; shifting to a new normal

  • How is the global political environment impacting the mandate for financial regulators?
  • Have recent events created a new paradigm for politicians and regulators?
  • What affect will Brexit and the US election have on the Asian regulatory environment?
  • Is public apathy and cynicism going to be the defining driving force for politics - and therefore drive financial regulatory direction - in the 21st century? How can politicians create a compelling vision under such an environment?

Moderator: Justin O'Brien, Professor of Business Law and Ethics, American University of Sharjah
Patricia Jackson, Advisor, EY
Nick Collier, Global Head of Government Affairs, Thomson Reuters
Professor Douglas W. Arner, Professor, Faculty of Law, University of Hong Kong

12:30       Lunch Break

13:35       How can China's continued economic liberalization drive national and regional economic stability?

  • Overview of recent and forthcoming capital markets developments - stock connects and bond market developments
  • What impact have recent instabilities had on Chinese financial regulation? Will an increasingly proactive approach negate future concerns?
  • Does liberalization necessarily bring stability?
  • Regulation of shadow banking and wealth management products

Moderator: Pete Sweeney, Asia Editor, Reuters Breakingviews
Prof. Robin Hui Huang, Professor of Law, Faculty of Law and Executive Director, Centre for Financial Regulation and Economic Development, Chinese University of Hong Kong
Jane Jiang, Partner, Allen & Overy
Qi Wang, CFA, CEO, MegaTrust Investment (HK)

CAPITAL MARKETS UPDATE

14:15       Regulatory Keynote presentation: The development of hedging markets in Asia

Chris Ryan, Head - International Department, Reserve Bank of Australia

14:40       What are the key challenges surrounding capital markets regulatory reform in Asia?

  • Where can clarity around capital markets regulatory developments be found, and how can this be improved?
  • Where are we now? An update on the implementation of OTC margin rules, and how this affects capital requirements for market participants
  • Timeline for action - what is in place already and when will further changes be implemented?
  • Regional overview of changing trading rules for OTC derivatives
  • What are the latest developments in both reporting and clearing for OTC derivatives, and how do these differ across the region?

Moderator: Chris Bradley, Executive Director, Banking & Capital Markets, EY
Keith Noyes, Regional Director, Asia-Pacific, International Swaps & Derivatives Association (ISDA)
Jan Eger, Head of APAC Government Relations, Thomson Reuters
Yvonne Siew, Partner, Allen & Overy
Jenny Cosco, Co-Head, Government Affairs Asia-Pacific, Goldman Sachs

15:25       Afternoon Networking Break

15:40        MiFID II and research unbundling: The competition issues and implementation challenges

  • Overview of the new unbundling regulations
  • How will these reforms affect the competitive landscape?
  • The implications for research teams and their business models
  • Sell-side developments and the commercial implications
  • Determining fair value for research and creating measurable metrics

Interviewee: Benjamin Quinlan, CEO, Managing Partner, Quinlan & Associates
Interviewer: Nathan Lynch, Head Regulatory Analyst, Australia & New Zealand, Thomson Reuters

THE ONGOING FIGHT AGAINST FINANCIAL CRIME

16:05       CFA Panel: Catch me if you can: Exposing financial crime

  • What are the trends in financial crime that regulators are most concerned with?
  • What structures and policies are regulators in different markets putting in place to mitigate financial crime?
  • How do regulators cope with boarderless financial crime in a globalised age, and what global networks are in place for regulators?
  • What advice do regulators have for institutions; what can institutions do to avoid/combat financial crime, and what role can organizational culture play?

Moderator: Dr Tony Tan, CFA, Head, Global Society Advocacy Engagement, CFA Institute
Tyler Hodgson, Senior Investigator, Integrity Vice Presidency, World Bank
Claudius Tsang, CFA, Senior Vice President, Senior Executive Director and Co-Head of Private Equity, North Asia, Templeton Asset Management Ltd

16:45       Practitioner Inverview: What is the impact of the Panama Papers on AML, Compliance and Corporate Governance in Asia?

In this session, we will explore the long-term impact of the Panama papers and the revelations they contained, as well as considering the affect this will have on AML, tax evasion and compliance. We will go beyond the mainstream press reports, and use unrivalled insight of our key speakers to identify the short- and long-term trends which will arise as a result of these revelations.

Interviewer: Ajay Shamdasani, Senior Regulatory Analyst, Regulatory Intelligence, Thomson Reuters
Interviewee: Bill Majcher, President, EMIDR Limited

17:10       Money Laundering: What you don't know can hurt you

  • What are the emerging typologies being used to launder money?
  • Is de-riskinng a good tool to plug AML control lapses?
  • Trade based money laundering: a new focus for Asian regulators
  • In what ways are shifting sanctions rulings impacting trade and business across the globe?
  • Practical ways to ensure your supply chain is free from money laundering and terrorist financing
  • How much of a role can technology play?
  • How can business do more to not only expel illegal activity from their supply chains, but also immoral activity?

Moderator: Phil Cotter, Managing Director, Risk & Supply Chain, Thomson Reuters
Stephanie Kleine-Ahlbrandt, Finance Expert, United Nations Panel of Experts established pursuant to Security Council Resolution 1874 (2009)
Bill Majcher, President, EMIDR Limited
Phil Rodd, Partner, EY

17:50       Summit Closing Remarks

17:55       Event Closes & Networking Drinks Reception Begins

Meet the speakers

The 2016 Pan Asian Regulatory Summit is the leading forum for governance, risk and compliance professionals in Asia and will deliver a comprehensive and impressive line-up of regulators and industry experts. Find out more.

Day 2: Wednesday 9 November 2016

07:30       Risky Women Breakfast (By Invitation Only)

08:00       Summit Registration Opens

08:45       MC Opening Remarks

Dean Ward, Sales Specialist Manager, Risk, Thomson Reuters

08:50       Thomson Reuters Welcoming Remarks

Sanjeev Chatrath, Managing Director, Region Head, Asia, Financial & Risks, Thomson Reuters

DRIVING ETHICAL CONDUCT & COMPLIANCE

09:00       Opening Keynote Presentation

Tom Atkinson, Executive Director of Enforcement, Hong Kong Securities and Futures Commission

09:25       The latest trends in enforcement from across the Asian region

  • How are enforcement trends in Asia developing and how will these affect firms?
  • To what extent are global enforcement trends influencing regional disciplinary actions?
  • From "broken windows" to strategic enforcement: is this the way forward for regulators?
  • What value do strong relationships with regulatory bodies bring, and how can financial institutions better manage these relationships?
  • Does the region need stricter regulatory regimes for personal liability?

Moderator: Nathan Lynch, Head Regulatory Analyst, Australia & New Zealand, Thomson Reuters
Tom Atkinson, Executive Director of Enforcement, Hong Kong Securities and Futures Commission
Meena Datwani, Executive Director (Enforcement and AML), Hong Kong Monetary Authority
Lief Thassim, Co-General Counsel - APAC, Deutsche Bank
Simon Clarke, Partner, Allen & Overy

10:10       Re-engineering the Compliance Environment

  • How have compliance priorities changed as a result of available resources?
  • Moving compliance away from cost centre to revenue protection group - making intangible benfits tangible
  • Hiring the right people; what skill sets are required for compliance people in 2016?
  • Outsourcing vs. Off-shoring - what are the difficulties with these approaches?
  • Using data and technology to overcome the challenge of the increasing cost of compliance
  • Changing first and second line defence responsibilities, and identifying best practise

Moderator: Judy Vas, Regulatory Leader, Financial Services - APAC, EY
Tim Tesluk, Managing Director & Head of Compliance, Global Markets, APAC, State Street
Maaike van Meer, Chief Legal and Compliance Officer, AXA China Region Insurance Company Limited
Angelina Kwan, Managing Director, Head of Regulatory Compliance, HKEx
Charlotte Robins, Partner, Allen & Overy

10:50       Morning Networking Break

11:05       Making the difference: using sustainability, diversity and inclusion to drive better conduct outcomes

  • How will global trends in sustainability, diversion and inclusion impact Asian businesses, and what can Asia learn from other regions?
  • Are Asian businesses behind the curve in recognizing the value of sustability, diversity and inclusion
  • What are the risks of not integrating sustainability, diversity and inclusion into business strategy?
  • What are the challenges of embedding sustainability, diversity and inclusion principles and processes in an organisation?
  • What are some examples of global best practice and innovative approaches?

Moderator: Widade Deguerre, Project Manager, Asia Pacific, Thomson Reuters
Su-Mei Thompson, CEO, The Women's Foundation (Hong Kong)
Archana Kotecha, Head of Legal, Liberty Asia
Clarence Yang, Managing Director, Corporate Strategy and Development, Asia, Blackrock
Fern Ngai, CEO, Community Business

TECHNOLOGY DEVELOPMENTS & THE FUTURE OF COMPLIANCE

11:45       Where is Technology Innovation Driving the Financial Markets?

  • Innovation vs. Investor Protection: regulatory approaches to fintech across Asia Pacific
  • What impact are new technologies having on financial institutions in Asia?
  • Is RegTech the answer to compliance challenges, or will it always rely on human intervention?
  • What role can blockchain play in future compliance processes?
  • What will be the next 'big thing' in technology?

Moderator: Professor Douglas W. Arner, Professor, Faculty of Law, University of Hong Kong
Jonathan Scott-Lee, Head, Compliance, Data, Technology, Operations, and Outsourcing, Standard Chartered Bank
James Lloyd, APAC Financial Services Fintech Leader, EY
Bénédicte N. Nolens, Head of Risk and Strategy, Hong Kong Securities and Futures Commission
Alan Ewins, Special Counsel, Allen & Overy
Nelson Chow, chief Fintech Officer, Hong Kong Monetary Authority

12:35       Lunch Break

13:35       Technology as a Risk: cyber crime & data privacy

  • Are organizationsn structured to effectively deal with cyber crime? Where will cyber crime prevention responsibilities lie in the future?
  • Educating the board on cyber crime risks and getting it on top of their agenda
  • How prepared are banks to deal with cyber crime threats in reality?
  • Are data privacy laws clear? What challenges does cloud technology add to the mix?
  • What can be done to minimize the risk of data breaches as a result of human error?

Moderator: James Mirfin, Managing Director, North Asia, Thomson Reuters
Jeremy Pizzala, Partner, Financial Services, Cyber Security, EY
Leesa Soulodre, Chief Reputation Risk Officer, RL Expert Group
Shih Hsien Lim, Head, Information Security, Hong Kong Jockey Club

14:15       The value of valuation: Successfully managing valuation risk within your business

  • What are the key policies and procedures required for risk valuation? How do these changes impact financial institutions across the region?
  • Separation of duties to avoid any conflict of interests - appropriate roles for internal and external valuation
  • What are the opportunities and challenges for valuation risk management?

Moderator: Wenlin Juang, Head of Pricing and Reference Services Asia, Thomson Reuters
Keith Noyes, Regional Director, Asia-Pacific, International Swaps & Derivatives Association (ISDA)
Anthony J O'Connor, Global Product, HSBC

14:55       KYC: Are shared utilities the answer?

  • How does a shared utiltiy model work and what KYC challenges does it aim to solve?
  • In what ways could a shared utility help financial instiuttions meet regulatory requirements and drive efficiency in conducting KYC?
  • To what extent would a shared utility change the KYC responsibilities of banks?
  • Lessons from the introduction of shared utilities elsewhere
  • Looking forward, will shared utilities become the norm across Asia?

Moderator: Dominic Mac, Global Head of Business Development, KYC & Client Onboarding Solutions, Thomson Reuters
Wayne Yang, Managing Director, Bank of Asia
Sébastien Wermelinger, Compliance Chief Operating Officer, Asia-Pacific, Societe Generale
Brian Tang, Managing Director, ACMI

15:35       Summit Closing Remarks

Debra Walton, Chief Product and Content Officer, Thomson Reuters

16:00       Event Closes

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Explore the agenda

The summit will discuss the key regulatory trends across Asia, regulatory updates, the challenges of anti-money laundering, and developments in financial technology, through a series of exclusive keynote presentations, expert panel discussions and intimate interviews. Find out more.

Agenda