The ASIFMA Compliance and Legal Conference is a premier annual event in Asia, organized by the Asia Securities Industry and Financial Markets Association (ASIFMA). This conference serves as a platform for industry professionals, including representatives from sell-side and buy-side firms, regulators, law firms, consultants, and media, to convene and discuss critical issues impacting the compliance and legal sectors within the financial industry.
Key topics covered at the conference include enforcement trends, global and regional financial regulatory developments, and insights from regulators on past and future challenges. Additionally, the event addresses the evolving impact of global events, such as the COVID-19 pandemic, on markets and business operations, providing attendees with a comprehensive understanding of the current compliance landscape.
The conference offers practical details such as networking opportunities, an expo hall featuring industry-leading vendors, and sessions led by notable speakers from regulatory bodies and financial institutions. These elements provide attendees with valuable insights and connections to enhance their professional practices.
This event is ideal for compliance officers, legal professionals, regulators, and industry consultants seeking to stay abreast of the latest developments in compliance and legal matters within the financial sector. Attending the conference enables participants to gain actionable knowledge, engage with peers, and contribute to the ongoing discourse shaping the industry's future.
Speakers(20)
Anatoly Kirievsky
Chief Compliance Officer at Optiver Asia Pacific
Anatoly Kirievsky is the Chief Compliance Officer for Optiver Asia Pacific. He has extensive experience in compliance across various financial institutions and has been an adjunct lecturer at the University of New South Wales since 2000.
Arthur Qian
Head of Compliance at Aberdeen Standard Investments China
Arthur Qian is the Head of Compliance for Aberdeen Standard Investments’ China operations, with experience in various compliance functions.
Ashley Alder
Chief Executive Officer at Securities and Futures Commission
Ashley Alder is the Chief Executive Officer of the Securities and Futures Commission of Hong Kong. He delivered a keynote speech at the ASIFMA Compliance and Legal Conference 2019.
Carol Wong
Head of EQD Compliance at Société Générale
Carol Wong is the Head of EQD Compliance at Société Générale, with over 12 years of equity advisory experience.
Chad Olsen
Certified Fraud Examiner at Exiger
Chad Olsen is an Australian Chartered Accountant and Certified Fraud Examiner with extensive experience across the Asia Pacific region, including 10 years in Hong Kong and Mainland China.
Gang Dong
Head of China Compliance at Morgan Stanley
Dong Gang is Morgan Stanley’s Head of China Compliance and a member of the firm's China Management Committee and China Risk Management Committee.
James Kong
Managing Director, Head of Legal and Compliance at Mizuho Securities Asia Limited
James Kong is the Managing Director and Head of Legal and Compliance at Mizuho Securities Asia Limited, overseeing legal and compliance functions across various business lines.
James Phillips
Head of Regulatory Reporting Strategy at VERMEG
James Phillips is the Head of Regulatory Reporting Strategy at VERMEG, focusing on evolving regulatory demands and their impact on clients and markets.
Joseph M. Quiazon
Managing Director and Head of Financial Crime Compliance at Exiger
Joseph M. Quiazon is a Managing Director and Head of Financial Crime Compliance at Exiger, based in Hong Kong, with extensive experience throughout the APAC region.
Laurence Van Der Loo
Director, Technology and Operations at ASIFMA
Laurence Van Der Loo is the Director of Technology and Operations at ASIFMA, responsible for coordinating the association's initiatives in these areas.
Lydia Li
Head of Legal and Compliance at Fidelity International China
Lydia Li heads Fidelity International’s Legal and Compliance functions in China, playing a key role in supporting the firm's operations in the region.
Mr Ashley Alder
Chief Executive Officer at Securities and Futures Commission
Mr Ashley Alder serves as the Chief Executive Officer of the Securities and Futures Commission, overseeing the regulation of Hong Kong's securities and futures markets.
Mr Mark Austen
Chief Executive Officer at Asia Securities Industry and Financial Markets Association (ASIFMA)
Mr Mark Austen is the Chief Executive Officer of ASIFMA, leading the association's efforts in promoting the development of Asia's capital markets.
Mr. Ashley Alder
Chief Executive Officer at Securities and Futures Commission
Mr. Ashley Alder serves as the Chief Executive Officer of the Securities and Futures Commission, overseeing the regulation of Hong Kong's securities and futures markets.
Mr. Mark Austen
Chief Executive Officer at Asia Securities Industry and Financial Markets Association (ASIFMA)
Mr. Mark Austen is the Chief Executive Officer of ASIFMA, leading the association's efforts in promoting the development of Asia's capital markets.
Ms Teresa Cheng, SC
Secretary for Justice at Government of the Hong Kong Special Administrative Region
Ms Teresa Cheng, SC, serves as the Secretary for Justice of the Hong Kong Special Administrative Region, overseeing legal affairs and the administration of justice.
Ms. Teresa Cheng, SC
Secretary for Justice at Government of the Hong Kong Special Administrative Region
Ms. Teresa Cheng, SC, serves as the Secretary for Justice of the Hong Kong Special Administrative Region, overseeing legal affairs and the administration of justice.
Philippa Allen
CEO and Founder at ComplianceAsia
Philippa Allen is the CEO and Founder of ComplianceAsia, with over 30 years of extensive business and regulation experience in Asia.
Sandra Lu
Partner at Llinks Law Offices
Sandra Lu has extensive experience in securities investment funds and other types of asset management business, providing legal services for numerous domestic and international fund managers.
Teresa Cheng
Secretary for Justice at Hong Kong Special Administrative Region Government
Teresa Cheng, SC, is the Secretary for Justice of the Hong Kong Special Administrative Region Government. She delivered a keynote speech at the ASIFMA Compliance and Legal Conference 2019.
Event Details
- Date
- May 29, 2019
- Location
- 🇭🇰 Hong Kong
- Mandarin Oriental Hong Kong
- Pricing
- Varies by tier
- Audience
- Compliance officers, legal professionals, regulators, industry consultants
- CLE Credits
- Upon request, ASIFMA provides a Proof of Attendance Letter for attendees to apply for relevant training hours (CPT/CPD) according to their job requirements.
- Attendees
- Approximately 400 participants