Session 1 – Opening an Office in Hong Kong
Topics: Licensing, Responsible Officers and Managers in Charge, Infrastructure and Cybersecurity, Fund Setup, Fund Administrators, PE Issues
Speakers: Alex Duperouzel and Steve Bai from ComplianceAsia, Nick Plowman from Ogier, Iain Carey from Northern Trust, Christine Lin from EY.
Session 2 – Being Licensed in Hong Kong
Topics: Ongoing Obligations, FRR and Audit, Personal Share Dealing, Record Keeping, Professional and Retail Investors, Surveys, Inspections and Investigations
Speakers: Philippa Allen, Alex Duperouzel and Alice Lyu from ComplianceAsia, Philip Kwong from EY, Alan Linning from Mayer Brown JSM
Session 3 – Changes in Hong Kong
Topics: Fund Manager Code of Conduct, Liquidity Management, Valuation Rules, OTC Derivatives Trading, Stock Connect ID – Speaker: Philippa Allen from ComplianceAsia
Session 4 – A Global Tour of Capital Raising
Topics: Australia, Japan, Singapore, Europe and AIFMD, the Americas
Speakers: Philippa Allen and Nithi Genesan from ComplianceAsia, Dan McNicholas from Nomura, Anne Marie Godfrey from Akin Gump Strauss Hauer & Feld
Session 5 – Other Major Regulatory Issues
Topics: SEC Registration, MiFiD II and Research and Bundling, Singapore Initiatives, Fintech
Speakers: Philippa Allen and Nithi Genesan from ComplianceAsia and Kristi Swartz from Bryan Cave
Networking Session and Regtech Demos Demonstrations from Veridate Financial and Quintain Analytics.
For any further information on the day, please contact Marketing@ComplianceAsis.com