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Regtech Pulse: Making compliance scalable for Fintechs in APAC

November 25, 2020
2:30 PM - 3:30 PM HKT

The global economic sanctions landscape continued to evolve during the 3rd quarter (Q3) of 2020. While COVID-19 did slow the introduction of new sanctions during the Q2, regulation rebounded during Q3 where you can see a significant increase in the number of sanctioned entities.

On the other hand, the trend towards instant payments is accelerating – but so too are incidences of financial crime. As the volume of payments increases, so does the potential for financial crime. Regulation and compliance requirements designed to combat crime pose a challenge that may slow down payment processing and customer onboarding while increasing operational cost, therefore having a negative impact on the customer experience.

In this webinar, the speakers will take a deep dive into:

  • Complex Global Sanction landscape
  • How to set-up an effective and efficient screening process to balance the risk vs customer experience
  • Mitigating Sanctions / AML risks in payment transactions

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    Agenda
    14:30pm 2020 sanctions landscape & Gaps in current screening process Vincent Gaudel, Compliance Expert, Accuity
    14:40pm How to set-up an effective and efficient screening process to balance the risk vs customer experience Eric Wan, Head of FCC Control, Mox Bank
    14:55pm Mitigating Sanctions / AML risks in payment transactions Nick Turner, Of Counsel, Steptoe & Jonson
    Neela Das, Head of Innovation, Accuity
    Alexandre Kech, CEO, Onchain Custodian

    Moderator:
    Irene Lee , Compliance director from UBS

    15:20pm Q&A

    Eric Wan
    Head of FCC Control,
    Mox Bank

    Eric is a Financial Crime Compliance expert and a Certified Public Accountant with the professional qualifications of CAMS, CAMLP and HKICPA in Hong Kong. He has been working in the compliance industry for more than 10 years, and taking various roles in country and regional roles in local and international banks. Currently, he is the Head of FCC Controls at MOX Bank Limited, striving for an efficient and smart way to fight financial crimes through Regtech.

    Irene Lee
    Compliance Director, Regtech Lead, UBS AG;
    RegTech Committee Co-chair, FTAHK

    Irene is the Compliance Director and Regtech Lead in UBS AG who brings a wealth of expertise and leads in various areas such as regulatory technology, wealth management product compliance, family office compliance & regulatory change governance. She is a talented and seasoned executive with over 10 years of extensive compliance experience in financial sectors including private bank, commercial bank and insurance company. Ms. Lee has spearheaded compliance efforts in the bank’s digitalization and regtech initiatives. Ms. Lee’s primary interests lie in the application of regtech solutions in the Greater Bay Area to aid compliance monitoring and data analytics.

    Nick Turner
    Of Counsel,
    Steptoe & Jonson

    NICK TURNER, of counsel for Steptoe & Johnson Hong Kong, works with multinational financial institutions and corporations on all aspects of economic sanctions, anti-money laundering (AML) and anti-bribery and corruption compliance and investigations. Drawing on his experience working in house for multinational financial institutions, he focuses on guiding clients on designing and implementing compliance programs and advising on the application of regulations from the U.S. Department of Treasury’s Office of Foreign Assets Control (OFAC) and other agencies to clients’ international businesses. Nick also has designed and delivered tailored trainings for clients on economic sanctions and AML laws in the financial services, telecommunications and manufacturing sectors. He is a frequent speaker at conferences and workshops throughout Asia and is a certified AML specialist (CAMS). He recently was named on the Global Investigations Review’s (GIR) list of “40 Under 40” global investigations specialists. He is an associate fellow with the Royal United Services Institute (RUSI).

    Alexandre Kech
    Chief Executive Officer & Co-Founder,
    Onchain Custodian

    Alexandre Kech has 20+ years of experience in the capital market industry. From global custody and asset servicing at the Bank of New York Mellon to data standardisation and Head of Securities & FX APAC at SWIFT, Alex has developed a strong post-trade industry leadership experience, extended in recent years to digital assets and blockchain.

    Alexandre transitioned to a new challenge in November 2018 when he joined Onchain Custodian as the CEO of the company in charge of building and launching, with Da Hongfei (Chair of the Board), Raymond Cheong (CSO) and El Lee (COO), an institutional digital custody service in Singapore. The solution is live since April 2019.

    Onchain Custodian believes in solving non-competitive industry issues through collaboration. Alexandre is the co-chair of the Global Digital Finance (GDF) Custody working group and is the convenor of the ISO TC68 / SC8 / WG3 building an international standard for Digital Token Identification.

    Neela Das
    Head of Innovation,
    Accuity

    Neela Das leads Accuity’s global, multi-disciplinary innovation teams with regional hubs in London, Paris, and Singapore. She is responsible for developing the innovation strategy, collaborating with the financial crime and payments business and technology teams across the globe. Her teams focus on driving ideas from concept to prototype quickly and efficiently using lean methodologies.

    Innovation at Accuity have a particular focus on supporting customers navigate a rapidly changing landscape. Recently, Neela has had a particular focus on the implementation of AI, collaborating closely with clients to uncover pragmatic solutions to their problems.

    Vincent GaudelVincent Gaudel
    Compliance Expert,
    Accuity

    Vincent Gaudel works as a Compliance Expert for Accuity. His responsibilities involve monitoring worldwide regulatory trends to guide product development, functionality growth, and client expansions. Through his previous experiences as a compliance and risk management consultant and compliance officer, Vincent guides expertise in anti-money laundering and countering financing of terrorism. His contribution has successfully supported sales process and sanctions data teams through in-depth regulatory analysis.

    Vincent received his Master in Political Sciences and International and European Relations at Linköping University, Sweden and holds M.Sc in International Business from INSEEC, France.