[Webinar] Fintech, Regtech and Suptech: The Digital Transformation of Regulatory Compliance Management

[Webinar] Fintech, Regtech and Suptech: The Digital Transformation of Regulatory Compliance Management

New Seminar

Overview

Technological progress and the ebb and flow of attitudes on the use of technology in regulatory compliance management has evolving ramifications for the securities industry.

This webinar will provide an overview of recent developments in the use of fintech, regtech and suptech by regulators, along with a discussion of how financial firms are using technology to manage compliance and operational risks. Emerging risk considerations and general recommended risk management practices related to the adoption of technology will be examined.

Objective

By the end of the webinar, participants will:

1. Gain a general understanding of how regulators use fintech, regtech and suptech for supervisory and enforcement activities
2. Gain insights into how industry peers are using technology to manage compliance and operational risk
3. Better understand how to identify and mitigate risks that may be relevant to their firm's operations and its adoption of technology solutions

Content

1. Recent developments in the use of fintech, regtech and suptech by regulators
2. How financial firms are using technology to manage compliance and operational risk
- Based on findings from the TRRI Fintech, Regtech and Role of Compliance Report 2020
- Transaction monitoring by some brokerage firms
3. Fintech, regtech challenges for financial firms over the next 12 months
- Based on findings from the TRRI Fintech, Regtech and Role of Compliance Report 2020
4. Emerging issues for risk and compliance functions
- Technology and personal liability for senior executives (developments and considerations in Hong Kong)
- Compliance challenges in cyber risk management
- How technology and digital transformation are changing risk and compliance functions at financial firms
5. General points for firms and their boards, risk and compliance executives to consider in evaluating and implementing technology solutions

Who should attend

Securities dealers, senior managers and risk and compliance professionals in the financial services industry.

Speaker/Course Instructor

Helen CHAN
Helen Chan is a Regulatory Intelligence Expert for Thomson Reuters Regulatory Intelligence. She is responsible for authoring expert analysis and delivering regulatory commentary on risk and compliance-related developments in Canada and across the Greater China region. Helen first joined Thomson Reuters in 2010 as the Asia Pacific Legal Editor for Westlaw Business Currents.

Helen holds a Honors B.A. in media studies from the University of Western Ontario in Canada and Juris Doctor degree from Queen's University in Canada. She is licensed to practice law in the state of New York and has worked for commercial law firms in Hong Kong, Shanghai and Toronto.

Details

Code
TSUFS20000101
Date & Time
Friday, 30 Oct 2020 (12:20PM - 1:20PM)
Venue
Virtual Platform
Language
English
Level
Intermediate
Hours
SFC:1.00, PWMA:1.00
Fees
All Member: HK$270
Staff of Corporate Member: HK$270
Non-Member: HK$540