Compliance Asia
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Building a more robust organisation

8 November 2017 – The Ritz-Carlton, Hong Kong




FinanceAsia is excited to welcome you back to the 6th Annual Compliance Summit Asia where we will take a practical and in-depth look at the key compliance considerations presently affecting corporations and financial institutions across Asia Pacific with a special focus on companies operating in China.

The day will be split into quarters, with a mix of panels and presentations covering each of the core topics of the day. We look forward to welcoming over 300 delegates again at this year’s event.

Heads of compliance, legal, and risk as well as general counsels from both corporates with major activities in Asia and financial services organizations will join together to discuss emerging risks and solutions.

Key topics to be explored include:

  • Regulatory compliance – global and regional impacts
  • RegTech solutions – are they the answer?
  • Data Security and cyber risks
  • Incentives for staff – whistle blowing and more
  • AML, sanctions, and CTF
  • Handling PEP relationships
  • GRC programmes – where you and your company may be at risk
  • Proactive approaches to risk and compliance
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The Ritz-Carlton, Hong Kong
International Commerce Centre, 1 Austin Road West,
Hong Kong, China
+852 2263 2263



Asia’s largest compliance focused event every year brings together 300-400 top executives, responsible for shaping the regulatory compliance and risk function at their organisation, together with best-of-breed solutions and service providers showcasing the latest knowledge, techniques and software. Join us for a truly interactive business forum and be part of the conversation.


Why should you attend?

  • Discover the latest market-changing developments and regulations
  • Meet your compliance peers and share their experience and insight
  • Learn how to leverage new tools to optimise your onboarding processes
  • Work together to combat cybercrime
  • Harness the knowledge of your fellow professionals

Corporations and Financial Institutions (banks, asset managers, hedge funds, private equity, central banks, institutional investors) and regulators are eligible with the following titles:

  • Chief Compliance Officer, Chief Legal Officer, Chief Risk Officer
  • Director, Managing Director, President, Chief Executive Officer, Chief Financial Officer, Head of Finance, Finance, Vice President, Manager
  • General Counsel, Legal Counsel, Legal Director, Legal Officer, Compliance Officer, Risk Officer, In-House Counsel, Counsel
  • Head of Investigations, Head of Audit, Audit Officer

A limited number of paid tickets to attend are available to representatives of following firms:

  • Law firm
  • Consultancy
  • Advisory firm
  • Service provider
  • Technology provider

* Haymarket Financial Media reserves the right of admission.





Statistics 2016

Delegate breakdown Compliance North Asia 2016

Statistics 2016

Previous Event Speakers

Thomas Atkinson, Executive Director, Enforcement, Securities and Futures Commission (SFC)

Joshua Kim, Legal Attache, United States Federal Bureau of Investigation (FBI)

Martine Vanasse, Head of APAC Control Room & Investment Banking and Capital Markets Compliance, Credit Suisse

Justin Baldacchino, Executive Director — Head of International Operational Risk, APAC, J.P. Morgan

Hannes Valtonen, Global Chief Compliance Officer, ORIX Corporation

Patrick Stokes, Chief, FCPA Unit, Fraud Section, Criminal Division, U.S. Department of Justice

Wesley Tam, Head of Anti-Money Laundering, Prudential Corporation Asia



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To sponsor, please contact:
Kelvin Andrews
Business Development Director
+852 3175 1909



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For more information, please contact:
Andrew Wright 
Senior Conference Producer
Tel: +852 3175 1926
For sponsorship enquiries, please contact:
Kelvin Andrews
Business Development Director
Tel: +852 3175 1909
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