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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.

KEYNOTE SPEAKERS

Tan Wee Soon

Singapore Head of Compliance & Risk Management

Bank Julius Baer & Co. Ltd

Tan Wee Soon

Singapore Head of Compliance & Risk Management

Bank Julius Baer & Co. Ltd

Tan Wee Soon is the Singapore Head of Compliance and Risk Management, and the regional AML/KYC lead for Bank Julius Baer & Co. Ltd. Prior to joining Bank Julius Baer, he has held senior compliance roles with various banks in Singapore, Hong Kong and China.

He is admitted as an advocate & solicitor of the Supreme Court of Singapore. Wee Soon is a IBF Fellow and participates in the Compliance Industry Workgroup for IBF.

Rolf Haudenschild

Co-founder

Ingenia Consultants Pte Ltd

Rolf Haudenschild

Co-founder

Ingenia Consultants Pte Ltd

Rolf Haudenschild is the Co-founder of Ingenia Consultants Pte Ltd He supports small and medium-sized financial institutions in their compliance, providing practical, client-focused advice since 2012. Prior to starting his own consultancy, Rolf initially worked as a lawyer in corporate governance for a leading international private banking group before joining the financial regulator on enforcement and drafting of policies.

Rolf is a recognized expert in compliance in wealth management, namely for external asset managers. He constantly remains at the forefront of developments working with several fintech companies, including virtual asset service providers, and exploring regtech.

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.

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.