About the Event To create a flagship annual event in Asia for compliance and legal, the Compliance and Legal Conference was held on 29-30 May 2019 in Hong Kong. The two-day conference attracted around 400 participants, including 10% institutional investors, 8% policy makers/ public officials and 3% media. It was indeed a conference “designed by the industry, for the industry”. 1 With over 90 speakers including key representatives from sell side, institutional investors, leading market practitioners and industry experts in compliance and legal, the conference served as a significant platform in the region for various key compliance and regulation stakeholders to meet and discuss important issues impacting this area. We were also honored to have Mr. Ashley Alder, CEO from Securities & Futures Commission of Hong Kong and Ms. Teresa Cheng, GBS, SC, JP, Secretary for Justice, the Hong Kong SAR Government, as our keynote speakers at this conference. We specially thank the valuable support from 9 sponsoring firms Compliance Asia, Exiger, Han Kun Law Offices, Herbert Smith Freehills, Latham & Watkins, Leap Xpert, Llinks Law, Mizuho, Refinitiv and Thomson Reuters, as well as 11 endorsing associations and 6 media partners. 2 We have received very positive feedback from speakers, delegates and sponsors. Most of them found the conference insightful and relevant regarding the current state of compliance and regulation in the industry; and that the event had a high calibre of speakers and diversity of audience that provided a highly efficient platform for networking and interaction. 3 List of Participating Organizations Aberdeen Standard Investments CLSA ACA Compliance Group Commerzbank AG AllianceBernstein L.P. Commonwealth Bank of Australia Amazon Web Services, Inc. Community Business Limited Amundi ComplianceAsia Consulting Ltd. ANZ Consulate General of Ireland Aon Hewitt Singapore Pte. Ltd. CorporateTreasurer AQR Capital Management (Asia) Limited Credit Agricole Asia Cloud Computing Association Credit Suisse Group AG Asian Private Banker DBS Bank ASIFMA Deacons Australian Securities & Investments Deloitte Commission (ASIC) Deminor Recovery Services Baillie Gifford & Co Deutsche Bank Baker & McKenzie DLA Piper Bank of America Merrill Lynch DTCC Bank of Montreal Eastspring Investments Barings Edelweiss Alternative Asset Advisors BlackRock Emotics Bloomberg Ernst & Young LLP BNP Paribas Euromoney Institutional Investor BNP Paribas Asset Management European Union Office BNY Mellon Eversheds Sutherland British Consulate-General Hong Kong Exiger Caixin Media EY CAPCO Fangda Partners Capital Group Fidelity International Capital International, Inc. FIL Asia Holdings Pte Limited Credit Suisse (Hong Kong) Limited FIL Investment Management (Hong Kong) China Construction Bank (CCB) Ltd China International Capital Corporation FinanceAsia Limited (CICC) Fitch Ratings Citadel LLC Fund Selector Asia Citadel Securities (Hong Kong) Limited Gekko Lab Citibank (Hong Kong) Limited Goldman Sachs Group, Inc. Clifford Chance LLP Guernsey Finance 4 List of Participating Organizations (Cont’d): Han Kun Law Offices Mayer Brown Haymarket Media Group Mindbridge Herbert Smith Freehills Miotech HKEX Mizuho HKMA Monetary Authority of Singapore (MAS) HKSAR Government Morgan Stanley Hogan Lovells National Australia Bank Ltd Hong Kong Internet Finance Association Natixis HSBC Nikko Asset Management Co., Ltd. IHS Markit Nine Masts Capital Limited IMC Pacific Pty Ltd Nomura ING Bank N.V. Singapore Norton Rose Fulbright International Compliance Training Academy Oliver Wyman (Hong Kong) Omgeo Pte Ltd J.P. Morgan One Asia Lawyers J.P. Morgan Asset Management Onfido Jane Street Optiver JDX Consulting PaRR (Acuris) Kenanga Investment Bank Berhad PayPal Kewei Law Petroliam Nasional Berhad King & Wood Mallesons Profiviti Know Your Customer PwC Korea Exchange Rajah & Tann Singapore LLP KPMG LLP Refinitiv Latham & Watkins Regulation Asia Law Offices of Panag & Babu Relativity Leader Corporate Services Limited S&P Global Ratings LeapXpert Schroders LGFG Fashion House SDL Linklaters SEC Thailand Liquidnet Asia Limited Securities and Futures Commission Llinks Law SGX (Singapore Exchange Limited) LLINKS Law Offices Shearman & Sterling LLP Macquarie Group Societe Generale MarketAxess Singapore Pte. Limited Standard Chartered Bank Matthews Asia State Street 5 List of Participating Organizations (Cont’d): T. Rowe Price Hong Kong Limited UBS Taiger UBS Asset Management Temple Grange Partners Vanguard Investments Hong Kong Limited The American Chamber of Commerce in VERMEG Hong Kong Volvo Financial Services The Hong Kong Association of Banks Vontobel Limited The University of Hong Kong Wellington Management Company Thomson Reuters Wells Fargo & Company Trading Hub Westpac Banking Corporation TradingHub Group Limited Winston & Strawn LLP Event Websites: For more about the Compliance and Legal Conference 2019: www.asifma.org/compliance- legal2019. For more information about ASIFMA events: www.asifma.org/events 6 Final Program Dates: Wednesday-Thursday 29-30 May 2019 Location: Mandarin Oriental Hong Kong – The Connaught Room, 1st Floor (Address: 5 Connaught Road Central, Hong Kong) Remarks: Open to the media except for afternoon Roundtables DAY 1 Wednesday, 29 May 2019 08:30-09:00 Check-in, Breakfast, Networking 09:00-09:15 Keynote – Ms. Teresa Cheng, GBS, SC, JP, Secretary for Justice, HKSAR Government 09:15-09:30 Keynote – Mr. Ashley Alder, Securities & Futures Commission Hong Kong 09:30-10:30 Plenary Panel 1 - State of Markets: Trends Shaping Banking and Financial Services 10:30-11:30 Plenary Panel 2 - Financial Regulatory Outlook Globally and Asia 11:30-13:00 Networking Lunch RegTech Demos - Compliance Stream RegTech Demos - Legal Stream 12:40-12:47 Gekko Lab 12:40-12:47 Taiger 12:50-12:57 LeapXpert 12:50-12:57 Know Your Customer Compliance Stream Legal Stream 13:00-14:00 Panel C1 - AI, Big Data and Robotic 13:00-14:00 Panel L1 - Benchmark; Alternatives Process Automation: Tools for Analytics and to IBORS; EU BMR Surveillance 14:00-15:00 Panel C2 – Financial Crime: AML, 14:00-15:00 Panel L2 - Dawn Raids and Forensics KYC and Sanctions 15:00-15:45 15:00-15:45 Coffee Break Coffee Break 15:45-16:45 15:45-16:45 Roundtable C1 - Evolution of Compliance Roundtable L1 - GDPR, Data Privacy, Security & Functions Management Roundtable C2 - Implementation of an Roundtable L2 - Evidencing Best Execution Appropriate Control Framework – Moving Forward 16:45-17:00 Wrap Up 16:45-17:00 Wrap Up 7 DAY 2 Thursday, 30 May 2019 08:30-09:00 Check-in, Breakfast, Networking 09:00-09:05 Welcome Remarks 09:05-09:50 Fireside Chat - Enforcement Trends 09:50-10:50 Plenary Panel 3 - China Compliance and Legal Onshore 10:50-11:50 Plenary Panel 4 - China Compliance and Legal Offshore 11:50-13:15 Networking Lunch RegTech Demos - Compliance Stream RegTech Demos - Legal Stream 12:55-13:02 Miotech 12:55-13:02 LeapXpert 13:05-13:12 Emotics 13:05-13:12 Onfido Compliance Stream Legal Stream 13:15-14:15 Panel C3 – Conduct, Certification 13:15-14:15 Panel L3 - Brexit and Culture, Use of Behavioral Cluster Analysis 14:15-15:15 Panel C4 - New Technology Risks – 14:15-15:15 Panel L4 - Automation within Legal RegTech, Crypto, and Surveillance Services 15:15-16:00 15:15-16:00 Coffee Break Coffee Break 16:00-17:00 16:00-17:00 Roundtable C3 – Application of Rules and Roundtable L3 - Diversity and Building a Culture Regulations to Algo and Electronic Trading - The of Inclusion Changing Landscape Roundtable C4 for Asset Management – Roundtable L4 – Impact of Social Media and Compliance around Funds Distribution Instant Messaging on Capital Markets 17:00 End of Conference 17:00 End of Conference 8 DAY 1 – WEDNESDAY 29 MAY 2019 Morning Plenary Sessions 08:30-09:00 Check-in, Breakfast, Networking 09:00-09:15 Keynote Teresa Cheng, GBS, SC, JP, Secretary for Justice, Hong Kong SAR Government 09:15-09:30 Keynote Ashley Alder, CEO, Securities & Futures Commission Hong Kong 09:30-10:30 Plenary Panel 1 - State of Markets: Trends Shaping Banking and Financial Services What are the compliance/legal implications of Brexit, the rise of interest rates, US-China trade war, slowing down of Chinese economy? How will a move from a multi-polar world impact sanctions, regimes, and compliance therewith? Digital transformation – what it means - what has and has not worked? What will be emergent technologies in the next 2-3 years? How does that impact compliance and legal functions including RegTech and SupTech? What will be the new avenues to raise capital and finance trade? Jacob Hook, Managing Partner, Asia Pacific, Oliver Wyman Stephen Davison, Managing Director, J.P. Morgan Neil Pabari, Managing Director, North Asia, Refinitiv Shaun Roache, Chief Economist APAC, S&P Global Ratings Tara Joseph, President, The American Chamber of Commerce in Hong Kong (moderator) 10:30-11:30 Plenary Panel 2 - Financial Regulatory Outlook Globally and Asia What are the major trends in the global financial regulatory world 10+ years after the crisis? Will the G20 solve an increasing tendency to regulatory fragmentation, which is the key point on the Japanese presidency’s agenda? What are the future roles of G20, FSB, IOSCO? Have they fulfilled their GFC role? Does Asia need a stronger voice? How will global regulators deal with contentious issues of privacy of data, data localization, outsourcing, and KYC/AML? Is the fixation on crypto assets warranted? How will cross-border frameworks and controls develop? Winnie Pun, Managing Director, APAC Head of Public