Agenda

08:30

Registration and Welcome Coffee

09:00

Chairperson’s Opening Address

Speakers
Lapman Lee,
Managing Director, Regulatory Consulting | Financial Services Business Council member
Duff & Phelps | European Chamber of Commerce
CONDUCT RISK IN HONG KONG

09:10

Keynote: An overview of conduct risk in Hong Kong – Emerging issues and trends 

  • Defining conduct risk and understanding what it means for governance and compliance 
  • Assessing conduct risk trends and issues in Asia Pacific 
  • Addressing the underlying causes of conduct risk 
  • Future-proofing – What can the industry do? 
Speakers
Marilouise Hughes,
Executive Director APAC Head of Conduct Risk
UBS

09:50

Analysing the importance of managing conduct risk in Hong Kong 

  • Demonstrating the detrimental effects of “bad conduct” on organisations 
  • Understanding how conduct risk affects your organisation’s brand, reputation and financial viability 
  • Managing conduct risk to improve relationships with customers, maximise returns and reduce regulatory burden 
  • Highlighting what organisations can do to manage and mitigate conduct risk 
Speakers
Con Tzatzakis,
Managing Director, Head of Compliance, Asia Pacific
BlackRock

10:30

Morning Break

MOVING TOWARDS A CUSTOMER-CENTERED CULTURE

11:00

Diagnosing your risk appetite to effectively manage conduct risk  

  • Reviewing existing processes and products to identify areas of conduct risk vulnerability 
  • Identifying conduct risk “hot-spots” and designing strategies to overcome them 
  • Striking a healthy balance between managing conduct risk, market agility and spending 
  • What more can be done from the governance and compliance point of view 
Speakers
Benedicte Nolens,
Senior Director, Head of Risk & Strategy
Securities and Futures Commission

11:40

Leaders Panel: Embedding a positive and responsible risk culture in your organisation

  • Recognising the importance of top-tier leaders in encouraging and communicating a responsible risk culture within organisations 
  • Addressing the challenge of alignment – Risk appetite, organisational culture, business model and outcomes, customer experience and compliance 
  • There is no “one size fits all” – Designing strategies for proper conduct risk management 
  • Drawing the roadmap to change – Taking the first steps and overcoming roadblocks
Moderator: Paul McSheaffrey, Partner, Head of Banking, Hong Kong; Head of Internal Audit & Risk Compliance Services, KPMG
Speakers
Rajeev Bhatnagar,
Chief Risk Officer, International
Commonwealth Bank of Australia
Lora Yip,
Head of Legal & Compliance, Asia
Vanguard Investments Hong Kong
Lin Koh,
Global Deputy Chief Compliance Officer
Chubb Life
Nicola Roseman,
AEJ Head of Office of Conduct and Culture
Nomura

12:30

Networking Lunch

IMPLEMENTING SYSTEMS, TOOLS AND FRAMEWORKS 

13:30

Building an ethical culture to manage conduct risk, a front-office perspective 

  • Understanding conduct risk and what drives it 
  • Assessing the importance of having an ethical culture and how it minimises conduct risk 
  • Identifying key elements of an ethical culture and how we can get there  
  • Developing platforms and initiatives that encourage ethical behaviour
Speakers
Alan Leigh,
Managing Director, International Business Controls Executive, Global Banking & Markets
Bank of America Merrill Lynch

14:10

Bridging the service excellence gap to mitigate conduct risk  

  • KPIs, tools and frameworks – How can they help manage conduct risk? 
  • Reviewing product development processes to ensure that conduct risk vulnerabilities are taken into consideration 
  • Ensuring that all employees, sales and frontline staff are adequately trained and have accurate knowledge of all products and services 
  • Highlighting what has worked and what can be improved
Speakers
Sameer Rege,
Partner, Financial Services Risk Advisory
Ernst & Young
Emma Atkins,
Director
Ernst & Young

14:50

Afternoon Tea

TRANSFORMING PROCESSES FOR IMPROVED OUTCOMES

15:20

Re-designing remuneration and incentive structures to mitigate conduct risk

  • Analysing alternative remuneration and incentive packages to minimise conduct risk 
  • Placing a greater emphasis on the “customer” in remuneration schemes 
  • Tailoring incentive packages to encourage proper conduct and better performance 
  • Lessons learnt – Practical advice and key considerations 
Speakers
Dominic Wu,
Managing Director and Senior Risk Manager, Asia Pacific
BNY Mellon

16:00

Embracing consistency across global operations to promote proper conduct 

  • Streamlining conduct risk objectives, guidelines and strategies across global operations 
  • Encouraging all employees to have accountability for proper conduct 
  • Strengthening employee and customer relationships across the globe 
  • Utilising appropriate channels to ensure that consistent communication is in place 
Speakers
Mike Newby,
Managing Director, Legal and Compliance
Morgan Stanley

16:40

Chairperson’s Closing Address

16:50

End of Conference

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