Post Event Review:After a successful first edition of our 2019 Compliance & Legal Conference on 29-30 May 2019, our second edition was presented through a virtual event
format. This conference brought together over 1000 attendees where the industry (sell-side, buy-side, regulators, law firms, consultants, and media) came
together to discuss key compliance issues impacting this area.

HIGHLIGHTED 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

This 4-half-day virtual event, which featured keynote speeches, presentations and panel discussions, was conducted primarily inEnglish to a global audience of over 1000 participants

2021 AT A GLANCE

5%

6%

1049

8%

16%

9%

Participants

1%
32%

62

12Speakers

Sponsors

10%

Industry representation81%

Geographical

65%
Regulators

67%

Investors
International Journalists
Industry Representatives

China

Hong Kong

OthersBuy side

Sell side

Regulators

OthersCONFERENCE HIGHLIGHTSDISTINGUISHED SPEAKERS
Ashley Alder

Hester M. Peirce

Click here for more confirmed conference speakers.

Cathie Armour

Lim Tuang Lee

Ruenvadee
Suwanmongkol

Chairman IOSCO Board
Securities and Futures
Commission Hong Kong

Commissioner
US Securities andExchange Commission

Commissioner
Australian Securities
and Investments
Commission

Assistant Managing
Director (CapitalMarkets)
Monetary Authority
Singapore

Secretary-General
Securities and Exchange
Commission Thailand

Phakawa Jeasakul

Arthur Yuen

Sharon ConcisomThomas Atkinson

Beng Hwa Tan

Resident Representative forPeoples Republic of China
Hong Kong Special
Administrative Region
International MonetaryAuthority

Carissa Aldridge

Deputy Chief Executive
Hong Kong MonetaryAuthority

Executive Director Markets
Enforcement
Australian Securities andInvestments Commission

Ananta Barua

Michael Duignan

Senior Executive Leader– Market Supervision
Australian Securities
and Investments
Commission

Whole Time Member
Securities and Exchange
Board of India

Head of Market
Misconduct Team
Securities and Futures
Commission Hong Kong

Vincent Loy

Atty. Oliver O.
Leonardo

Makoto Minegishi

Assistant Managing
Director (Technology)
Monetary Authority
Singapore

Officer-in-Charge of theEnforcement and Investor
Protection Department
Securities and Exchange
Commission Philippines

Deputy Director-General,Financial System andBank Examination
Department
Bank of Japan

Executive Director,
Enforcement
Securities and Futures
Commission Hong Kong

Shigeru Ariizumi

Vice Commissioner forInternational Affairs
Financial Services
Agency, The
Government of Japan

Director Head of
Enforcement Department’s
Market Conduct
Investigations Division I
Monetary Authority
Singapore

Linda Yiu

Director, Intermediaries
Supervision
Securities and Futures
Commission Hong Kong

Julia Leung

Executive Director, Banking
Conduct
Securities and Futures
Commission Hong Kong

John Witts

GBM, GBS, MH, JP, Financial
SecretaryHong Kong Exchanges andClearing Limited

Guy Debelle

Deputy GovernorReserve Bank of Australia

2021 SPONSORS AND SUPPORTING ORGANIZATIONSEVENT LEAD SPONSORGOLD SPONSORSPlatinum
ENDORSERSMedia Partners

Supporting Organisation