HONG KONG - · PDF file• Obligations to report crime and self ... Hong Kong Police Force . Agenda th26 – 27th April ... W Hotel Hong Kong 14:10 – 14:55 Criminal Defense and Dealing

Legal, Risk, Compliance, eDiscovery,

Financial Crime, Corporate Governance, Data Privacy

HONG KONG 26th – 27th April 2017

LOS ANGELES October

www.innoasialegal.com

BEIJING

20th June 2017

SINGAPORE

28th & 29th June 2017

AMSTERDAM

September

TORONTO

October

NEW YORK October

http://www.innoasialegal.com/

Agenda 26th – 27th April 2017

W Hotel Hong Kong

Overview The Innoxcell Annual Symposium 2017 Series is the largest and most comprehensive legal and regulatory

compliance conference around the globe. This is the ‘one-of-a-kind’ conference that attracted 2500+

people across Asia in 2016. This year IAS is held in 7 locations in 2017: Dubai, Hong Kong, Shanghai,

Singapore, Australia, Amsterdam and Washington D.C. IAS 2017 covers topics like Anti-corruption,

eDiscovery, Fraud prevention, Financial Crime Analysis Governance, Risk and Compliance and many

more.

The IAS 2017 series is a must-go-to conference for senior legal, compliance, audit, risk and information

security professionals around the globe. IAS 2017 offers a variety of sessions that run simultaneously

for top level executives in MNCs from various industries and job functions and numerous networking

and business collaboration opportunities.

Lead Sponsor

Platinum Sponsor

Gold Sponsors


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Silver Sponsors

Bronze Sponsor

Exhibitors Presentation Sponsor

Knowledge Partner

Supporting Organizations


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Day 1 – Fraud | Risks | Investigation

08:30 – 08:45 Welcome Address

Presented by

Kyle Wombolt, Partner Herbert Smith Freehills

08:45 – 09:05 Keynote Presentation

Presented by

Chris Fordham Managing Partner, EY Fraud Investigation & Dispute Services Asia Pacific

09:05 – 09:50 Anti-Corruption: Global Enforcement Trends and Managing eDiscovery in Investigation

In this session, enforcement and industry practitioners will discuss the trends and developments of cross-border anti-corruption investigations and how

eDiscovery technologies can be leveraged to managed complex evidentiary disclosures and fact-finding exercises. The panel will discuss how to conduct investigations driven by FCPA and local authorities with cost-efficient and defensible practices.

• The 2016-17 trends of global enforcement and cross-border investigations in Asia, especially in light of changes in administration in the U.S.

enforcement authorities and regulators

• Best practices for collecting and preserving evidence and mitigating the risk of cross-border data transfers

• Conducting an investigation: How to reduce costs and increase efficiency using defensible practices and latest technologies?

Moderator

Sebastian Ko, Regional Director, Document Review Services APAC & Legal Counsel, EPIQ

Speakers Jay Chong, Regional Director, Forensic Services APAC, EPIQ

Mimi Yang, Partner, Ropes & Gray Moray Taylor-Smith, Head of Anti-Bribery & Corruption, Greater China and North Asia, Standard Chartered Bank

09:50 – 10:05 Networking Break

10:05 – 10:45 Enforcement Panel: Risk Doesn’t Stand Still, Neither Should You

Bribery Risk, Third Party Risk, Cyber Risk, Employee Misconduct & Regulatory Compliance

Corruption, fraud and other types of financial crime are becoming increasingly complex and global in nature. In this session, the panel members will provide a cross-border perspective to investigating financial crime and the challenges it presents. Topics will include:

• Current enforcement priorities in the US and Hong Kong

• Inter-agency co-operation

• Challenges of multi-jurisdictional investigations

• Obligations to report crime and self-reporting

• Dealing with whistleblowers

Moderator Robert Hunt, Partner, Herbert Smith Freehills

Speakers

Kyle Wombolt, Partner, Herbert Smith Freehills John S. Yu, Special Agent, Federal Bureau of Investigation

Brian Tang, Chief Inspector of Police, Fraud Division, Commercial Crime Bureau, Hong Kong Police Force


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10:45 - 11:25 “Did Anyone Happen to See That Elephant in the Room?” - Looming Risks for In-house Compliance and Investigative Professionals

in Greater China

From a plethora of new technological applications to the adoption of total quality management techniques to a compliance context, over the past

several years a cornucopia of new tools and methodologies has emerged for compliance and investigative professionals. These tools are all well and good per se, but key questions remain: Given the availability and presence of such helpful tools, why does fraud and corruption still persist? What still

may be missing when things do break down?

This presentation will discuss the potential elephants in the room as well as the looming risks for anyone with operations in Greater China.

Speaker

Brent Carlson, Director, AlixPartners

11:25 - 11:55 Networking Break

Panel

White Collar FRAUD

Sessions in this stream explore the latest case studies of fraud, corruption and misconduct

White Collar RISK

Sessions in this stream explore the latest topics such as cyber risk, business risk

and internal threat

White Collar INVESTIGATION

Sessions in this stream explore best practices in investigations and examine tools and techniques that facilitate investigations

11:55 – 12:35 Exposing Corruption

Hong Kong is a premier international financial centre and widely recognized as one of the freest economies in the

world. Anti-corruption has always been one of the government’s most fundamental pledges to the

community.

In this session, moderator and speakers will discuss what are the challenges and best practice in anti-corruption.


Speakers

Moray Taylor-Smith, Head of Anti-Bribery &

Corruption, Greater China and North Asia, Standard

Chartered Bank Judie Shen, Director of Anti-Bribery & Corruption,

Prudential Corporation Asia

11:55 – 12:35 Smarter Data: Reducing Regulatory Compliance

Burden

Just like everyone else, regulators and enforcement

agencies are challenged by the variety and volume of data they receive in disclosure requests and warrants. In the past 12 months we have seen some regulators take a more savvy approach to requesting information and

using analytics to make sense of the data they receive. This session will explore some of the clever ways

regulators are addressing the problem and how you can work with them to reduce the burden of notice

compliance.

Speaker Angela Bunting, Vice President, eDiscovery, Nuix

11:55 – 12:35 Gathering Digital Evidence during International

Investigations involving China

Nearly all corporate crimes today involve a digital element, and fraudsters are increasingly sophisticated in

covering up their tracks…however investigating digital evidence in China is not quite that straight

forward. KrolLDiscovery’s consultants and digital forensic experts will run through recent cases and share

tactics fraudsters often employ…including mistakes clients make in the investigative process. The speakers will highlight the steps clients must take to ensure they don’t miss any evidence, why things don’t always seem

like they appear in China and how to ensure the evidence is admissible in Chinese courts now and in the future.

Speakers

Kate Chan, Regional Managing Director, KrolLDiscovery

Han Lai, China Manager, KrolLDiscovery Stefan Lau, Senior Manager, Computer Forensics &

Ediscovery Services, KrolLDiscovery

12:35 – 14:10 Compliance Management for Compliance and Legal Team

This is a roundtable discussion design to discuss the following

topics. Participants are split into group and encourage to

brainstorm and discuss the best practices of Compliance

Management ranging from internal policy attestation to whistle blower oversight to external regulatory change

management and compliance.

This is a RSVP only session, please sign up and join this

roundtable.

Special lunch will be served

Facilitator Robert Luu, ACDA, Senior

Solutions Consultant, Solution Leader, ACL

12:35 – 13:35 Lunch Break

13:35 – 14:10 Localization of Compliance and Ethics Program: Challenges that

Undermines Company Compliance Efforts

In this session, the panelist will discuss the respective roles of the three disciplines in an organization and where they intersect. Be ready to take away key points on how

to build a compliance culture that are supported by policies, education,

technology and audit.

Moderator

Miang Lee, Partner, EY Fraud

Investigation & Dispute Services

Speakers

Stanley Lui, Head of Legal & Compliance, Hilti Asia

Ricky Short, Chief Regional

Compliance Officer, CBRE Asia

Mary Shirley, Compliance Director,

Head of SEA and Regional Training

and Investigation Lead APAC,

Fresenius Medical Care North America

Usman Asif, Global Leader, Third-Party Compliance, Dun & Bradstreet

13:35 – 14:10 How to Get Control of Third

Party Risk

Vendor risk management (VRM) is no longer emerging; it is here and we are

seeing an increasing number of customers adopting robust vendor risk management program and best practices. Join Royston Chng from BitSight to learn how to deal

with the evolving challenges, identify and address vendor risk management gaps,

and see where the industry's VRM landscape is heading.

Speaker

Carla Morss, Senior Director, WW

Channels

13:35 – 14:10 AI Goes Global - Impacts on the Way

We Conduct Investigations, Compliance and Litigation

into the Future?

Analytics and AI are impacting our lives in many significant ways and changing the

way we do business, none more so than in the litigation, investigation and compliance

space in which these technologies are increasingly being deployed.

In this session, we will discuss the future landscape of Analytics and AI in Asia and how it shapes the legal and compliance arena as well as the use of predictive

analytics in litigation, investigation and risk mitigation.

The goal of the session is to see analytics

and AI as a key enabler and build this expertise into your current/future practice.

Speakers

Abigail Cooke, Asia Pacific Account Manager, kCura

Christopher Marks, Executive

Director, EY Fraud Investigation &

Dispute Services


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14:10 – 14:55 Criminal Defense and Dealing with the

Investigating Authorities

• When should a criminal lawyer be

retained in SFO cases?

• Arrest, search warrants and criminal charges in regulatory matters

• Directors or staff acting as prosecution witnesses

• Right of silence v. requirement to answer questions under the SFO

Speaker

Andrew Powner, Partner, Haldanes

14:10 – 14:55 Top 5 Practical Issues on Data Protection

Join this panel for critical insights into the changing

landscape of the Personal Data regime in Hong Kong. Acquire practical techniques to mitigate the risk.

The session will discuss:

• Current development

• Top 5 practical issues to be thinking about

including ecommerce, website building, cloud

computing

• Practical steps your organization can take to

avoid data protection issues

• Any tools available in the market that would

be useful resource for this area

Moderator

Jennifer Van Dale, Partner, Eversheds

Speakers

Tyson Wienker, Managing Director Greater China and North Asia, LexisNexis

Dominic Wai, Partner, ONC Lawyers

14:10 – 14:55 eDiscovery’s Past, Present and Future: How Did We

Get Here and Where are We Going

The volume of emerging technologies is increasing, as

are the ways those technologies are being used in the

business world and specifically in the legal industry.

Business communications now reside in myriad

electronic locations and on multiple devices, increasing

the complexity of data privacy and eDiscovery concerns.

Lawmakers try to match the speed of these

developments, but the regulatory framework is

constantly moving.

This session will explore the key corporate and industry

trends that are impacting eDiscovery.

Speaker Adi Elliott, VP of Market Planning, Epiq

14:55 – 15:35 Data Storage and Cross Border Data Transmission in

China from Cybersecurity perspective

The new Cybersecurity Law of China is to take effect soon on June 1, 2017, and follow-up draft assessment

measures in relation to cross boarder data transmission and security of network products and services have been released by the Cyberspace Administration of China for public comment recently; however, many companies are

still unclear about the specific provisions of the regulations. Given the anticipated uncertain nature of the measures to be issued by regulatory authorities and the

potentially high cost of non-compliance, managers should keep track of the new Cybersecurity Law and the

draft implementation measures and closely monitor related developments to ensure their businesses are well

prepared for data compliance.

Susan Ning from King & Wood Mallesons will share her insights on the challenges facing data storage and data

localization in China and the best practice of cross-border data transmission.

Speaker Susan Ning, Partner, King & Wood Mallesons

14:55 – 15:35 Capital Projects Fraud Risk Management –

Detecting and Preventing Fraud in Construction Projects

Major capital programs are complex and pose

substantial fraud and corruption risks even when they are well managed. Despite the laws and regulations that government has implemented in the past two decades

and the improvements made by the project management profession, fraud and corruption continue to be a top

issue for owners undertaking major capital programs in China. The most notable risk areas for fraud and

corruption in capital projects in recent years have tended to revolve around: 1) land acquisition, 2) financing, 3)

project registration and permitting, 4) procurement, and 5) construction quality. Large-scale projects are often managed by outsourced local project management companies, and managing the risks of fraud and

corruption conducted through third party agents has become a new challenge for many companies.

In this session, the speaker will share her opinion on the trend of capital projects risk and how to manage the risk.

Moderator

He Xin, Partner, EY Fraud Investigation &

Dispute Services

Speakers Ryan Troupe, Legal Director, APAC, Atkins

Cheyenne McGillycuddy, Senior Legal Advisor, Arup

14:55 – 15:35 Competition Law and Investigation

Competition law compliance continues to be a key area

of focus for many businesses across the region, with many of the issues that arise having a cross-border

element.

In this session, the speakers, who are both senior individuals within their respective enforcement

agencies, will discuss the latest competition law developments and enforcement trends in the US and

Hong Kong.


Speakers

Jeffrey Martino, Chief, Antitrust Division, U.S. Department of Justice

Stephen Ryan, Of Counsel, Competition Commission

15:35-15:45 Networking Break

15:45 – 16:20 Fraud, Bribery & Corruption

Impact on International Arbitration

International commercial arbitration has become so widespread that it is the first method for dispute

resolution of cross-border contracts.

In this session, speakers will discuss the obstacles and impacts on international arbitration.

Moderator

Simon Chapman, Partner, Herbert Smith Freehills

Speakers

Trevor Dick, Partner, EY Fraud Investigation &

Dispute Services

Christina Charemi, Counsel, Hong Kong

International Arbitration Centre

15:45 – 16:20 Conduct Risk Management

• What is conduct risk, and what does this mean in the broad context of international financial services?

• Key drivers of conduct risk • Issues and approaches: Culture,

Communication, Challenge, Complacency

• Responding with integrity to ethical dilemmas, and the need for industry wide behavioral change

Speakers Sam Gibbins, General Manager, Asia,

Governance Risk & Compliance Solutions Pte Ltd

Gang Xu, Associate General Counsel, The Hershey Company

Brian Tang, Managing Director, Asia Capital

Markets Institute

15:45 – 16:20 Digital Innovation and Investigation

Digital investigation techniques are important for

multinational corporates. Innovation in digital investigation is even more important.

In this session, speakers will discuss 3 major

matters

• Third Party Risk and Investigation

• The Key Elements of a Successful Investigation

• Digital investigation techniques

Speakers Lonneke van Zundert, Head of

Security and Intelligence Management Asia & Middle East,

ABN AMRO Bank N.V Sophia P.K. Yap, Chief Investment Officer,

Trackmore Ventures


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Day 2 – RegTech | CyberTech | Financial Crime Compliance

08:45 – 09:15

Welcome Address Integrated Regulation Management: The Financial Crime Intelligence Perspective

Presented by

Manhim Yu

Partner, EY Fraud Investigation & Dispute Services

09:15 – 10:15 Harnessing Data to Improve Compliance and Manage Risk in Financial Crime

• How to manage your compliance risk by effectively analysing risk and link analysis. • How to manage risk across silos to centralise data collection to enable effective analysis for AML and Fraud without duplication and in a

world of changing risk.

• How to use flexible platforms that support different business models for AML and Fraud co-existence to better understand a customer behaviour.

• Identifying elements of a ‘future proof’ financial crime risk management that supports the globalization of payment infrastructures.

Moderator Andrew Davies, Vice President, Global Market Strategy, Financial Crime Risk Management, Fiserv

Speakers

Yunhong Liu, Sr. Director, Head of APAC Compliance Solutions Dun & Bradstreet

Brian Tang, Managing Director, Asia Capital Markets Institute


10:30 – 11:25 Digital Innovation and Change - Facilitating the Delivery of Regulatory Requirements

Moderator Phil Rodd, Partner, EY Financial Services

Speakers

James Kong, Head of Legal & Compliance, Mizuho Securities Asia Chak Wong, Managing Director, Head of Sovereign and Financial Institutions, APAC & Japan,

Société Générale

16:20 – 17:10

A Journey to the Dark Side of International Business and Steps to Protect Your Organization

In this session, Kyle will take the lead and interview Richard, where he will share his own experience and perspective with real-world corruption, and how, by aligning compliance and ethics initiatives to the actual risks which exist in the field, that anti-bribery compliance can be embraced by the

commercial work-force as a partner to business success.

Speakers Kyle Wombolt, Partner, Herbert Smith Freehills

Richard Bistrong, CEO, Front-Line Anti-Bribery LLC Former FCPA Violator and FBI/UK Cooperator


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11:25-12:00 Applying analytics for Fraud and Threats Detection in the Digital Age

Digital economy is here. New forms of digital currency and connectivity are reshaping consumer purchase patterns and spawning new areas of risk.

Combating all forms of fraud – payment cards, online transactions and even first-party (customer) fraud – has vaulted to the top of the corporate agenda.

The key to fraud detection is making use of the data – plus combining with the proactive analytics approach, that allow you to fully understand the

behaviours of an account holder across products and channels in real - time.

Speaker Wilson Ho, General Manager, SAS Institute Ltd.


Panel

SURVEILLANCE Sessions in this stream explore the latest

best practices of KYC and employee monitoring

CyberTech Sessions in this stream explore the

latest regulatory technology tools and best practices

INTEL Sessions in this stream explore data analytic that facilitate investigation

12:30 – 13:10 Case One: Market Abuse and Conduct Risk

Preventing, detecting and punishing market abuse is a

high priority for us. It is important in fulfilling our statutory objectives of protecting consumers, enhancing market

integrity and promoting competition.

In this session, speakers will share the challenges and the best solution for market abuse.

Speakers

Sam Gibbins, General Manager, Asia, Governance Risk & Compliance

Solutions Pte Ltd Anna Clover Lam, Head of Bloomberg Vault Asia

Pacific, Bloomberg L.P. Kelvin Ng, BTCA Product Specialist, Bloomberg L.P.

12:30 – 13:10 Stay Ahead of Growing Security Risks and

Compliance Missteps The Cybersecurity Fortification Initiative (CFI) by HKMA will require banks to assess and improve their resiliency

to cyber attacks, and already, banks are feeling the pressure to quickly assess their risk exposure and

maturity level.

In this presentation, Michael Gianarakis, Head of Trustwave SpiderLabs, APAC, will share how banks

can complete the Cyber Resilience Assessment Framework (C-RAF) and address the immediate needs

for Intelligence-led Cyber Attack Simulation Testing (iCAST), including simulating real-life cyber attacks, and

understanding how your people, processes and technology can respond.

Speaker

Michael Gianarakis, Head of SpiderLabs APAC,

Trustwave

12:30 – 13:10 Leveraging Evidence from Social Media and

Mobile Devices in Corporate Investigations

As the personal and professional use of social media and mobile device technology continues to grow,

organizations involved with investigations, regulatory actions, and lawsuits must understand the steps they

need to take and best practices to follow for forensic data collections from these sources. Social and mobile data

acquisition, in addition to traditional digital data sources, is a key component of any defensible discovery protocol. However, forensic acquisition of social and mobile device

data is often far more complicated than many people realize and can encompass much more than just copying a few cell phones. Unique challenges regarding physical

device access, data privacy, security and encryption, authentication and chain of are only further compounded

by the many different platforms used by each device manufacture and each model, and each social media application. This session will look these issues and

discuss best practices for dealing with them, as well as identifying some of the most useful types of data that can

be leveraged in investigations and litigation.

Speakers Stephen Yu, Director, AlixPartners

David White, Director, AlixPartners

Xia Li, Associate, Debevoise & Plimption

13:10 – 14:10 Lunch Break


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14:10 – 14:50 Capturing and Preventing AML Risks with Client

Onboarding and Reviews

Across the world, increasingly stringent standards for Know Your Customer (KYC), Anti-money Laundering

(AML), and tax transparency are creating significant costs and complexities for financial institutions. This is

particularly true in Asia-Pacific, where financial institutions are placing a heavy focus on compliance. Institutions in

the region need to onboard accounts and services efficiently while blocking and mitigating risks at the door.

And with frequent policy changes from multiple jurisdictions, organizations must adapt as quickly as

possible to ensure compliance and retain their competitive advantage. What systems can be adopted to empower

and assist teams and management to achieve such goals?

Join us at the panel discussion to find out.

Moderator

Samuel Lung, Director, EY Fraud Investigation &

Dispute Services

Speaker Yvonne Mok, Director of Sales, APAC, Appway

14:10 – 14:50 Analyzing the Next Top 3 Trends in AML

• Bringing Advanced Analytics into Your AML Program

• Going Beyond Batch – How “Real-Time” Can Improve Your Program

• Using Your Compliance Program to Improve Your Firm’s Bottom Line

This is a RSVP only session, please sign up

and join this roundtable.

Facilitators Andrew Davies, Vice President, Global Market Strategy, Financial Crime Risk Management,

Fiserv Jack Jia, Partner, EY Fraud Investigation

& Dispute Services

14:10 – 14:50 How can Artificial Intelligence be used in KYC/AML

to Reduce Cost, Lower Risk and Grow Relationships?

Roughly one third of bank costs on KYC/AML is spent on

manually collecting and cleansing Entity Data. Regulations taking effect in 2017 and 2018 will require

more data and further increase these costs. The unwanted side effects of missed trades, heavy fines and

lost clients also continue to add to costs.

This session will present a path forward on how these costs can be reduced and how these issues can be

addressed using a data-driven technology approach.

Speaker Dan Matthies, Head of KYC, Bloomberg LP


15:00 – 15:40 Customer Due Diligence Trends

With consistent with FATF guidance, the EU & the US have enacted

regulations requiring certain financial institutions to implement some form of CDD on a variety of higher-risk financial products.

The panel will explore issues such as

the application of Hong Kong AML/CTF laws to:

- Bank KYC Process - Setting up KYC Utility

Speakers Simon Leung, Head of AML, Compliance, China Citic Bank

K. F. Lam, Executive Director, Head of Compliance, United Overseas Bank Hong Kong

15:00 – 15:40 Internal Threat and Employee Misconduct

Whether you suspect employee wrong-doing or need to identify accomplices or uncover who is stealing proprietary company information or reach inappropriate

media during duty.

Speakers

Christopher Marks, Executive Director, EY Fraud Investigation & Dispute

Services

Eppie Mui, Investigations Director, American International Group


15:55 – 16:35 Strengthening Controls Landscape with Data Analytics

Internal controls play an integral role in a company’s success, but many young accounting and finance professionals enter their careers without a clear understanding

of their importance.

In this session, speakers will discuss what is the best way to strengthening internal control with big data analytics.

Speakers

Ricky Tang, Cyber Security Global, Telstra Donald Tse, Assistant Vice President - Global Markets Technology Operational

Risk, Credit Suisse

15:55 – 16:35 Sanction Risk Management-Risk Based Approach

• Recent Sanctions regulatory changes for UK/OFAC, Iran & Russia • Key elements of sanctions program that can quickly response to global

changes

• Emerging and heighten risk area

• OFAC sanctions impact to non-US companies

Speakers Maggie Qiu, Head of Sanctions, Financial Crime Compliance, Greater China & North

East Asia, Standard Chartered Bank Hong Hui Wong, Former APAC Regional Economic Sanctions Compliance Lead,

Bank of America Merrill Lynch

Documents

HONG KONG - · PDF file• Obligations to report crime and self ... Hong Kong Police Force . Agenda th26 – 27th April ... W Hotel Hong Kong 14:10 – 14:55 Criminal Defense and Dealing