Marilouise Hughes

Executive Director APAC Head of Conduct Risk



Con Tzatzakis

Managing Director, Head of Compliance, Asia Pacific


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Con Tzatzakis, is the Managing Director, Head of Compliance for the Asia Pacific region with BlackRock. Prior to this role, Con was the General Counsel for Australia and had overall responsibility for the Legal & Compliance function in Australia leading a team of ten legal and compliance professionals. Since joining Merrill Lynch Investment Managers (now BlackRock) in 2000, Con has worked as Legal Counsel both in Australia and in the U.K. (London). He was appointed General Counsel, Australia in September 2007. Before BlackRock, Con held a number of legal and compliance roles with HSBC Asset Management, the Australian Securities and Investments Commission (ASIC) and has also worked in private legal practice in Australia.

Alan Leigh

Managing Director, International Business Controls Executive, Global Banking & Markets

Bank of America Merrill Lynch

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Alan Leigh is a Managing Director and Business Controls Executive for Global Banking and Markets in our international regions (Asia Pacific, EMEA & LatAm). In this role he leads teams responsible for managing the front office risk, controls and conduct across the sales and trading, capital markets and corporate and investment banking businesses. He is based in Hong Kong.
Alan started as a management consultant in financial services. He joined Merrill Lynch in New York in 2000 and has had previous roles as global head of Research Business Controls and Programs, COO and head of Client Development for Asian Investment Banking, based in Japan. He was appointed to his current role in 2009.

Rajeev Bhatnagar

Chief Risk Officer, International

Commonwealth Bank of Australia

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Rajeev Bhatnagar was appointed Chief Risk Officer, International, for Commonwealth Bank of Australia’s (CBA) Institutional Banking & Markets business outside of Australia in September 2015. He is based in Hong Kong and manages risk teams in Hong Kong, Singapore, China, London and New York. Rajeev is a member of the Leadership teams of Institutional & Business Banking Risk Management and International Institutional Banking & Markets teams. Rajeev joined CBA in October 2013 and was responsible for setting-up the product risk team for Cash-flow & Transaction Services products prior to taking over his current role.

Dominic Wu

Managing Director and Senior Risk Manager, Asia Pacific

BNY Mellon

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Dominic Wu is the Managing Director and Senior Risk Manager of the Bank of New York Mellon covering APAC risk activities. He is also the founding member of Asia Financial Risk Think Tank and Chairman of Hong Kong Chapter of the Institute of Operational Risk (IOR). Dominic has over 20 years of experience in banking, securities, assets management and consultancy. Dominic is a qualified accountant, fraud examiner and professional risk manager and did his MBA from University of Hull, UK. He is highly sought after as a speaker in risk management and provides training to regulators, universities, financial institutions and professional bodies. He is an advisor to various universities and professional associations in HK, China and Singapore. He has linked up with the industry and the academics as well as university students to conduct research in current financial topics and risk management techniques. 

Benedicte Nolens

Senior Director, Head of Risk & Strategy

Securities and Futures Commission

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Bénédicte N. Nolens is the Senior Director and Head of Risk and Strategy (R&S) of the Hong Kong Securities and Futures Commission (SFC). Bénédicte joined the SFC in 2012 to establish a new, centralized unit, overseeing risk identification and related strategic planning. During the course of 2015, Bénédicte was appointed as a member of the Financial Stability Board (FSB) Market Experts Group on Asset Management, as a member of the Hong Kong Financial Service and Treasury Bureau Fintech Steering Group, and also as the Vice Chair of the International Organization of Securities Commissions (IOSCO) Committee on Emerging Risks (CER), which issues an annual IOSCO Risk Outlook report. Starting March 2016, Bénédicte oversees the Fintech Contact Point of the SFC. 

Mike Newby

Managing Director, Legal and Compliance

Morgan Stanley

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Mike Newby is the Chief Operating Officer for the Legal and Compliance International Division, covering EMEA and Asia. He is responsible for the Division’s strategy, resources, management coordination and special projects. He also oversees Core Compliance functions for Asia Pacific including Registrations, Employee Investing, Governance and Conduct. Mike has been based in Hong Kong and working for Morgan Stanley since 2007, having previously worked for the Firm in New York. During his time in Asia, he has overseen a range of Compliance coverage functions including Asset Management, Country Compliance and Trade Surveillance. Mike is a management consultant by training and has worked for various major financial services firms in London, New York and Singapore.

Lapman Lee

Managing Director, Regulatory Consulting | Financial Services Business Council member

Duff & Phelps | European Chamber of Commerce

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Lapman is a Managing Director of Duff & Phelps’ Compliance & Regulatory Consulting (CRC) practice in Hong Kong. He has 18 years of experience in the financial services industry both as a banker advising on structured finance and a consultant specialized in compliance, regulatory and risk advisory in investment banking, private banking and wealth management, insurance and pensions. He is part of a global team that consists of former regulators (FCA, London Stock Exchange)), law enforcement professionals (New York Major Crimes Bureau), and capital markets, cybersecurity, and forensic experts. Lapman specializes in 1) Anti-Money Laundering/ Financial Crime Compliance, 2) Conduct of Business (miss-selling, internal fraud, market manipulation), 3) Financial Markets Sales & Trading (algorithmic trading, BCBS / OTC derivatives reform, best execution/ MiFID 2, cybersecurity, dark pools, and trade surveillance), and 4) FinTech (InsurTech and RegTech). In Hong Kong, he is a frequent speaker on InsurTech and RegTech and in ongoing dialogue with the financial services regulators – HKMA, SFC, OCI and MPFA - on FinTech in his role as Financial Markets Committee (FMC) member at the British Chamber of Commerce and Financial Services Business Council member (FSBC) at the European Chamber of Commerce.

Lora Yip

Head of Legal & Compliance, Asia

Vanguard Investments Hong Kong

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Lora Yip is the Head of Legal & Compliance, Asia of Vanguard Investments Hong Kong Limited, responsible for legal and compliance matters for Vanguard's offices in Hong Kong, Singapore and Japan. She joined Vanguard in 2012 and has more than 16 years of experience in the financial industry. She previously worked as a senior counsel at Value Partners. Prior to that, she practised as a fund and corporate lawyer in Hong Kong where she specialised in investment funds formation and corporate finance matters. Lora holds a LLB and a LLM from the University of Hong Kong and is admitted as a solicitor in England and Wales and Hong Kong. She speaks fluent English, Mandarin and Cantonese.

Lin Koh

Global Deputy Chief Compliance Officer

Chubb Life


Sameer Rege

Partner, Financial Services Risk Advisory

Ernst & Young

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Sameer joined EY’s Hong Kong team from our US practice and leads EY’s Financial Services Risk Management Practice in Hong Kong. He brings 14 years risk management experience within the Banking and Capital Markets and Wealth/Asset Management sectors. Sameer is focused on leading large regulatory transformation and remediation programs and providing risk management services to financial services clients. Sameer has extensive experience with broad enterprise risk and governance, operational risk, compliance risk, conduct risk and regulatory remediation.

Paul McSheaffrey

Partner, Head of Banking, Hong Kong; Head of Internal Audit & Risk Compliance Services



Nicola Roseman

AEJ Head of Office of Conduct and Culture


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Nicola has led Nomura’s AEJ Office of Conduct and Culture since its inception at the end of 2015. A key priority for the team includes managing the AEJ Culture program which comprises of three dimensions ‘Conduct & Risk’, ‘People’ and ‘Clients’. Nicola has developed her career within the Finance departments of Investment Banks across the globe.  She began her career in Scotland in local government as a trainee Accountant, and then spent two years as a Management Accountant for Metsä Wood before relocating to Tokyo in 2000. Nicola is an Accountant (Association of Chartered Certified Accountants) and earned her M.B.A. from Manchester Business School.

Emma Atkins


Ernst & Young

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Emma is a Director in EY’s Regulatory Practice who has experience in advising EY’s Investment Banking and Private Banking clients on a number of Conduct Risk issues. Having worked in the UK until 2014 she helped clients responding to the FCA’s Conduct Risk regime and since moving to EY Hong Kong has led the practice’s Conduct Risk Advisory Services. Emma’s experience includes; approaches to conduct risk governance, conduct risk training, effective conduct risk controls and conduct risk monitoring and reporting. She also co-chairs the EY APAC Conduct Risk Leadership Network and has written several conduct risk publications for EY.

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