ASIFMA Compliance and Legal Conference 2020

3-4 June 2020, Hong Kong

Overview of the Event

This flagship annual event in Asia for compliance and legal is “designed by the industry for the industry” where the industry (sell-side, buy-side, regulators, law firms, consultants and media) 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.

Please visit here for more details of the 2019 edition.

Silver Sponsors:

Media Partners:

Endorsers:

Event Factsheet

Download the Factsheet

Agenda

Download the Draft Program

Day 1: Wednesday, 3 June 2020

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 – COVID-19: The Evolving Impact on Markets and Business Operations
10:30-11:30 Plenary Panel 2 – Financial Regulatory Outlook Globally and Asia
11:30-13:00 Networking Lunch

AFTERNOON BREAKOUT STREAMS AND CONCURRENT ROUNDTABLES

STREAM A: CONDUCT, CRIME AND MARKET ABUSE

13:00-14:00 Panel A1 – Conduct, Culture and Accountability Regime: Harmonization across Different Countries
14:00-15:00 Panel A2 – Financial Crime: AML, KYC, Sanctions
15:00-15:45 Coffee Break
15:45-16:45 Concurrent Roundtable A1 – Market Abuse
15:45-16:45 Concurrent Roundtable A2 – Evidencing Best Execution

STREAM B: CHALLENGES FOR BUSINESS LINE

13:00-14:00 Panel B1 – Sustainable Finance: Risks, Guidelines
14:00-15:00 Panel B2 – IBOR Transition
15:00-15:45 Coffee Break
15:45-16:45 Concurrent Roundtable B1 – Key Legal and Compliance Issues for Institutional Sales
15:45-16:45 Concurrent Roundtable B2 – Recent Legal and Compliance Developments in Prime Brokerage & Servicing of Hedge Fund Clients
16:45-17:00 Wrap Up

Day 2: Thursday, 4 June 2020

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
10:50-11:50 Plenary Panel 4 – Future-Proofing the Function of Compliance & Legal: Evolution, Upskilling, Diversity
11:50-13:15 Networking Lunch

AFTERNOON BREAKOUT STREAMS AND CONCURRENT ROUNDTABLES

STREAM C: REPORTING, BOOKING AND SOCIAL MEDIA

13:15-14:15 Panel C1 – Non-Financial Regulatory Reporting (NFRR): Ownership, Tech Solutions, Best Practices
14:15-15:15 Panel C2 – Social Media and Fake News: Managing Risk, Crisis Management
15:15-16:00 Coffee Break
16:00-17:00 Concurrent Roundtable C1 – Remote Booking: Managing Risks, Best Practices,
Governance
16:00-17:00 Concurrent Roundtable C2 – Regional Standardization of Regulatory Reporting

STREAM D: INNOVATION AND TECHNOLOGY

13:15-14:15 Panel D1 – Technology Opportunities for Common Compliance and Legal Requirements
14:15-15:15 Panel D2 – Fintech Regulation and SupTech
15:15-16:00 Coffee Break
16:00-17:00 Concurrent Roundtable D1 – Digital Assets: Regulations, Best Practices, Governance Framework
16:00-17:00 Concurrent Roundtable D2 – New Technology Risks: RegTech, Crypto, Surveillance
17:00 Close of Conference

Supporting Organizations

ASIFMA is now accepting sponsorships. Your support will be much appreciated!

Expecting event sponsors to come from legal firms, consultants and technology utilities or 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 learning labs at the breaks. Limited exhibit opportunities would be available as well.
Please click to view the details of our sponsorship packages here.

Silver Sponsors:

Media Partners:

Endorsers:

We were honored to have confirmed the following distinguished speakers for the conference.

Registration Details

Please register here.
You may also read the Registration Guideline for your reference.

Delegate Fee

Early-bird Rates
(On or before 23 April 2020)
Standard Rates
(On or after 24 April 2020)
Non-transferrable Transferrable Non-transferrable Transferrable
Member of ASIFMA and
conference endorsers
USD 300 USD 350 USD 350 USD 400
Non-member USD 400 USD 450 USD 450 USD 500
  • Each transferrable pass allows a maximum of four (4) delegates to participate in the
    conference at different times under the same admission pass (only one (1) delegate at a
    time).
  • For ASIFMA members, guests of Endorsers and those requesting Non-Transferrable passes only, please email ccheung@asifma.org for the Promo Codes of the discounted rates.
  • Only selected senior regulators, media and confirmed speakers will be offered complimentary passes. Institutional investors and corporate treasurers will have to pay a delegate fee as this is not a trading event. Please click here to submit your application for our review.
  • 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:

JW Marriott Hong Kong
Ballroom, JW Marriott Hong Kong
Pacific Place, 88 Queensway, Hong Kong

Reference Materials

From Sponsors
ComplianceAsia
LinkedIn
MyComplianceOffice (MCO)
Conflicts of Interest Survey Report
Relevant Research – China
Relevant Research – India
Relevant Research – Regional
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Some position
Some company
Some content