Date:Time:
Language:

Tuesday-Thursday, 28-30 June
Starting at 9:00am (GMT+8) daily
EnglishDAY 1(Tue, 28 June)

DAY 2(Wed, 29 June)

DAY 3(Thurs, 30 June)

REGULATORY OUTLOOKOPERATION AND THE TALENT POOLTECHNOLOGY AND INNOVATION

09:00-13:00

09:00-12:15

09:00-12:15

Opening Keynote
Julia Leung, Deputy Chief Executive
Officer and Executive Director,
Intermediaries, Securities and Futures
Commission (SFC)

Opening Keynote
Arthur Yuen, Deputy Chief Executive,
Hong Kong Monetary Authority

Panel 1:
Regulator’s Perspective: Looking Backand Looking Ahead

Panel 1:
Cross Border Business Arrangements

Panel 2:COVID-19: The World Two Years On –the Evolving Impact on Markets andBusiness Operations

Panel 2:
A Look at Selected Regimes in Progress- Mandatory Reference Checks andInvestor ID

Panel 3:
ESG Risk Management andGreenwashing

Panel 1:
RegTech Adoption – The Way Forward

Panel 2:
Cross Border Data Sharing Data Privacy

Panel 3:
Talent: Challenges and Opportunities
in Recruiting, Fostering and Upskilling

Panel 3:
Surveillance: Keeping up with
Innovation and Challenges in theRegion

Panel 4:
ESG Disclosures

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

DAY 1 | TUESDAY | 28 JUNE | 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, Managing Director and Head of Government Affairs, Asia Pacific, Citi
10:15-11:10
Operations

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;lessons 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), DTCCPaul Hedley, Head of Regulatory Compliance, Global Banking and Markets, Asia Pacific, HSBCDr 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, ASIFMAASFIMA Compliance Asia Conference 2022 Working Agenda
Page 2 of 7

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 implementationPanelists:
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, ASIFMAASFIMA Compliance Asia Conference 2022 Working Agenda
Page 3 of 7

DAY 2 | WEDNESDAY | 29 JUNE | OPERATION AND THE TALENT POOL09:00-09:05
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
o Outline and overview of PRC regulation of securities and futures market and acomparison to HK regulationo How does all this affect Wealth Management Connect in the Greater Bay Area?
• What are the five most common areas of concern for entities and individuals?
o Key Channels (e.g., travel physically, calls and emails)• Regulatory ability for licensed reps to undertake regulated activities offshoreo What is permitted without a license?
o Does COVID / remote working alleviate any of the obligations or enforcement risk?
• What are some of the practical solutions?
o For example, are there any common or innovative models for supporting clients in
multiple jurisdictions while navigating licensing and data restrictions?

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 ofResourcing, Asia, Standard Chartered Bank
Stanley Cheung, Executive Director, Compliance, JP Morgan
Helen Fok, Partner, Simmons & SimmonsModerator: Manesh Samtani, Editor and General Manager at Regulation Asia

ASFIMA Compliance Asia Conference 2022 Working Agenda
Page 4 of 7

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 News12:05-12:10
Closing Remarks
Patrick Pang, Managing Director - Head of Compliance and Tax, ASIFMAASFIMA Compliance Asia Conference 2022 Working Agenda
Page 5 of 7

DAY 3 | THURSDAY | 30 JUNE |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 forfinancial 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 haveaccess 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
Moderated by: Joyce Chen, Senior Regulatory Reporter APAC, PaRR, ION Analytics

ASFIMA Compliance Asia Conference 2022 Working Agenda
Page 6 of 7

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 monitoringmeasures?
• 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 Remarks
Patrick Pang, Managing Director - Head of Compliance and Tax, ASIFMAASFIMA Compliance Asia Conference 2022 Working Agenda
Page 7 of 7