[Webinar] Fintech, Regtech and Suptech: The Digital Transformation of Regulatory Compliance Management
概要
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.
宗旨
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
內容
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
對象
Securities dealers, senior managers and risk and compliance professionals in the financial services industry.
Financial Incentive Scheme of the WAM Pilot Programme
This is one of the eligible courses / seminars under the Financial Incentive Scheme (“The Scheme”) of the WAM Pilot Programme.
Eligible in-service practitioners of the financial services industry could apply for a reimbursement up to 80% of the course / seminar fees, or a maximum of HK$10,000 per person throughout the period of 1 October 2016 to 31 March 2023 upon satisfactory completion.
Each individual may apply for reimbursement for more than one course / seminar subject to a maximum of HK$10,000 but each course / seminar can only be reimbursed once.
The duly signed application form together with the FIVE supporting documents must be submitted within FOUR months from the last day of the course / seminar attended. Please refer to the WAM Pilot Programme website for more details.
WAM Pilot Programme Special Requirements
If you plan to apply for reimbursement under the Financial Incentive Scheme (FIS), please ensure your device/computer has the camera feature or with webcam installed as you are required to turn on your camera throughout the webinar.
導師/講者
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.