Thomson Reuters is pleased to announce the 2nd annual Japanese Regulatory Summit will be hosted on March 10th 2015 at the Hotel Okura, Tokyo. Via a series of panel discussions and presentations the summit will continue to connect policy makers and regulators with the domestic financial services industry, creating a platform for dialogue on key challenges around market reform. The ultimate objective is to enhance the standard of market conduct by analysing how regulation, corporate governance, risk management and enterprise-wide compliance can serve as enablers to drive business, achieve operational excellence and establish Japan as a robust and well governed international financial centre.
Keynote speeches will be delivered by Kiyoshi Hosomizo, Commissioner of the Financial Services Agency Japan and Je-Yoon Shin, Chairman of the Financial Services Commission of Korea and Vice-President of the Financial Action Task Force (FATF).
Key themes to be covered at the Summit include:
The state of the regional & global regulatory landscape
Conduct risk, culture & risk governance
Global compliance, AML & KYC
Personal data protection, cybercrime and the threat to reputational risk
Progressing Tokyo as a leading international financial centre & collaboration efforts with regional Asian markets
Rintaro Tamaki – Deputy Secretary-General, The Organisation for Economic Co-operation and Development (OECD)
Takuo Komori – Director of International Affairs, Financial Services Agency Japan
Kazuto Komuro – Senior Director for Policy, Office of the Governor for Policy Planning, Tokyo Metropolitan Government
Benedicte Nolens – Senior Director & Head of Risk and Strategy, Hong Kong Securities & Futures Commission
Peter Tierney – Regional Head of Asia, DTCC Deriv/SERV LLC
Takehiro Hosomura – Director, Strategic Planning and Director, OTC Derivatives Clearing Service
Seats are limited. To secure your seat or nominate a colleague please register via the link below.
KNOW THE REGULATIONS THAT WILL INFLUENCE FIRMS IN 2015
2015 will be the year that marks the end of major international regulatory reforms designed to lessen the occurrence of another financial meltdown and a renewed emphasis on ethics and customer responsibility. This white paper presents Niall Coburn of Accelus Regulatory Intelligence’ ten regulatory risk insights for the Asia Pacific region for this year, which include, culture, conduct risk, lines of management responsibility and accountability, customer disclosure, staff training and competency, AML (beneficial ownership), cyber security governance, anti – corruption, terrorist financing, regulatory implementation and planning for final global reforms arising from the G20 summit.
Download and read this white paper to gain better understanding of what 2015 will bring to market participants and how businesses should prepare to face the regulatory changes.
As practitioners and leaders in the management of governance, risk, and compliance, we represent companies like yours that look to us to act with confidence in the evolving risk and regulatory landscape.
In this issue, you’ll find a diverse series of articles spanning many of the facet of the operational risk and regulatory landscape that businesses face today – including third-party risk and on-boarding of new customers, perspectives on the current geopolitical environment, virtual currencies and confidentiality.
Articles included in this issue:
Enhanced Due Diligence: Best Ways of Meeting the Requirements and Managing Business Risk – EDD processes create a big challenge to corporations’ and financial institutions’ compliance teams. Read article to find out best practices to determining your due diligence process.
Client On-Boarding: Unpacked and Rewrapped – Broadening and redefining the concept of client on-boarding for financial institutions
Failure to Handle to Conflicts can Land You in Hot Water – This article analyzes the issues in recent conflicts of interest cases and suggests lessons that may assist banks and consulting firms.
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