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2024 Q4 Regulatory & Compliance Update Workshop and AIWM Regulatory Masterclass

AIWM Regulatory and Compliance Update

In this final instalment of our 2024 AIWM Regulatory & Compliance Update workshops, we  look at the theme of enterprise-wide risk management, together with UBS Singapore. To kick this off, we examine how to strengthen your organisation’s cyber resiliency to mitigate fraud risks against evolving fraud and AML threats whilst ensuring appropriate frameworks are implemented to meet heightened regulatory demands.

Learn more on how to prepare your organisation and empower your employees with practical knowledge and guidance to manage and mitigate fraud risks from the custodian bank perspective with Raymond But, Global Wealth Management Anti-Fraud Lead at UBS AG.

The event rounds off with a panel discussion on the regulatory landscape – current themes and updates, helmed by esteemed speakers within the independent wealth ecosystem.

Join us for an insightful half-day event followed by a networking lunch as we collectively work towards elevating the professional standards of the industry.

Event Details
Date: Wednesday, 4th December, 2024
Time: 9:00 AM – 1:30 PM (Registration starts from 8:30am)
Venue: UBS Auditorium, Level 5, 9 Penang Rd, Singapore 238459

TIME AGENDA
8:30 AM Registration
9:00 AM Welcome Note
9:05 AM Opening Address
Patrick Busse, Head GFIM Singapore, UBS AG
9:15 AM Fraud Awareness
Raymond But, Global Wealth Management Anti-Fraud Lead, UBS AG
10:15 AM Networking Break
10:45 AM Panel Discussion I Regulatory, Legal, Operational Aspects of Enterprise Risk Management

Moderator:
  • Joyce Woo, CEO, Leo Wealth Pte Ltd
Panellists:
  • Chiara Bartoletti, COO, Eightstone Pte Ltd
  • Patrick Busse, Head GFIM Singapore, UBS AG
  • Rolf Haudenschild, Co-Founder, Ingenia Consultants
  • Tan Woon Hum, Partner & Head of Trust, Asset & Wealth Management Practice, Shook Lin & Bok
11:30 AM Q&A
11:45 AM Networking Lunch
1:30 PM Event Ends

 

KEYNOTE SPEAKERS

Chiara Bartoletti

COO
Eightstone Pte Ltd

Joyce Woo

CEO
Leo Wealth Pte Ltd

Patrick Busse

Head GFIM Singapore
UBS AG Singapore

Rolf Haudenschild

Co-founder
Ingenia Consultants Pte Ltd

Raymond But, CFE

Global Wealth Management Anti-Fraud Lead
UBS AG Hong Kong

Tan Woon Hum

Partner & Head of Trust, Asset & Wealth Management Practice
ShookLin & Bok

AIWM Regulatory Masterclass (FULLY BOOKED)

Exclusive for Compliance Professionals of Ordinary Member Firms

In the AIWM Regulatory Masterclass, we will explore the various components of enterprise-wide risk management (“EWRM”) – across the entire business, not just regarding money laundering and terrorism financing. The Monetary Authority of Singapore (“MAS”) is increasingly focusing on this obligation of fund management companies (reg. 13(b)(iii) and 13B(1)(a)SF(LCB)R), but it only provides generic guidance in its regulations and shares expectations to identify, address, and monitor the risks associated with thetrading or business activities of the licence holder. How does senior management establish a risk management system for its business to adequately identify, measure, evaluate, monitor, report and control or mitigate risks regularly?

Facilitated by Ingenia Consultants Pte. Ltd., the masterclass participants will learn  how to develop a comprehensive risk management framework, identify risk typologies, and quantify risk within their business, keeping in view their business model.

Event Details
Date: Wednesday, 4th December, 2024
Time: 2:00 PM – 5:00 PM (Registration starts from 1:30pm)
Venue: Paprika Room, Level 4, 9 Penang Rd, Singapore 238459

TIME AGENDA
1:30 PM Registration
2:00 PM Welcome Note
2:05 PM AIWM Regulatory Masterclass - Regulatory Expectations & Developing a Comprehensive Risk Framework
3:00 PM Tea Break
3:30 PM Exercise - Risk Typologies & Risk Assessment
5:00 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 Privacy Policy.

This event is for Associate / Ordinary members only.

Date

Dec 04 2024

Time

09:00 AM - 05:00 PM

Location

UBS Auditorium
9 Penang Rd, Singapore 238459

Organizer

AIWM Singapore
REGISTER
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