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2024 Q2 Regulatory and Compliance Update Workshop and Compliance MasterClass

AIWM Regulatory and Compliance Update

Appropriate identification and prevention or management of conflicts of interest are essential to effective risk management whilst ensuring compliance with the laws and regulations. What are the appropriate measures to mitigate conflicts of interests? How can EAMs improve their operational controls and governance?

In partnership with Bank Julius Baer, join our Q2 AIWM Regulatory & Compliance Update workshop, as Mr Tan Wee Soon, Singapore Head of Compliance & Risk Management at Bank Julius Baer & Co. Ltd, speaks on the topic of conflict of interests from a custodian bank perspective, and Mr Rolf Haudenschild, Co-Founder at Ingenia Consultants, shares an overview of the changes to the regulations of the Monetary Authority of Singapore (“MAS”) applicable to external asset managers (“EAMs”) in 2024 to date.

Event Details:
Date: Wednesday, 12 June, 2024
 Time: 9:30 AM – 12:00 PM
Venue:  The Meeting Room, 9 Straits View, 3/F, Marina One West Tower, Singapore 018937
TIME AGENDA
9:30 AM Registration
10:00 AM Welcome Note
10:05 AM Opening Address
Noah Kan, Managing Director Senior Advisor, Group Head - Intermediaries Singapore, Bank Julius Baer & Co. Ltd
10:15 AM Conflict of Interest - A Private Bank’s Perspective
Tan Wee Soon, Singapore Head of Compliance & Risk Management, Bank Julius Baer & Co. Ltd
10:45 AM Networking Break
11:00 AM Overview of Regulatory Developments in 2024 To-Date
Rolf Haudenschild, Co-Founder, Ingenia Consultants
11:45 AM Q&A
12:00 PM Event Ends

 

KEYNOTE SPEAKERS

Tan Wee Soon

Singapore Head of Compliance & Risk Management
Bank Julius Baer & Co. Ltd

Rolf Haudenschild

Co-founder
Ingenia Consultants Pte. Ltd

AIWM Compliance Masterclass (FULL)

Exclusive for Compliance Professionals of Ordinary Member Firms

Thank you to your positive feedback and interest to our inaugural AIWM Compliance Masterclass held last year, we are delighted to present the 2nd edition!

In the 2nd edition of the  AIWM Compliance Masterclass, we will explore conflicts of interest together with Ingenia Consultants Pte. Ltd. In the past months, the Monetary Authority of Singapore (“MAS”) has put increasing emphasis on this topic. In its regulations, the MAS provides generic guidance and shares expectations for the regulatory requirement of “mitigate[ing] conflicts of interest arising from the management of assets.” (reg. 13B(1)(e) SF(LCB)R) However, concerns and appropriate measures for an external asset manager (“EAM”) are materially different from those applicable to a large financial institution.

Facilitated by Ingenia Consultants Pte. Ltd., the participants of the masterclass will identify common conflicts of interest and share experiences in their management, keeping in view the boutique size of EAMs.

Event Details
Date: Wednesday, 12 June, 2024
Time: 2:00 PM – 4:30 PM
Venue: The Meeting Room, 9 Straits View, 3/F, Marina One West Tower, Singapore 018937
TIME AGENDA
2:00 PM Registration
2:15 PM Welcome Remarks
2:20 PM Introduction on Conflicts of Interest
Presentation by Ingenia Consultants
3:00 PM Workshop with Case Studies (Part 1)
3:20 PM Tea Break
3:45 PM Workshop with Case Studies (Part 2)
4:30 PM Event Ends

 

Important Notes:

1) Certificates of Attendance (COA) are issued based on attendance records.
2) A SGD150.00 event cancellation fee per person is applicable for this event.
3) A SGD150.00 no-show penalty fee per person applies.
4) By registering for this event, you agree and consent to AIWM’s Privacy Policy.

This event is for Associate / Ordinary members only.

Date

Jun 12 2024

Time

09:30 AM - 04:30 PM

Location

The Meeting Room
9 Straits View, 3/F, Marina One West Tower, Singapore 018937

Organizer

AIWM Singapore
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