Post-Conference Workshops - 23 February Thursday
09:00 AM Workshop C: The A to Z Guide to Digital Compliance in Financial ServicesDeb Pal, Senior Vice President, Asia Pacific Risk & Compliance, Large Financial Institution
Digital and cloud platforms provide an ever increasing array of tools with which to engage consumers but, with greater accessibility and power comes greater risk.
With the growing number of digital compliance requirements and international regulations, can you successfully deliver a digital strategy with repeatability and integrity? How can you ensure that clients’ sensitive data are kept safe and protected in the digital space?
Key frameworks and strategies on managing compliance across various digital channels (i.e. cloud, social networking sites, payment platforms)
Defining internal policies and standards to leverage on for better digital compliance
Adopting risk reporting and analytics to track global compliance risks and improving sustainability performance of your digital platforms
Deb PalSenior Vice President, Asia Pacific Risk & Compliance
Large Financial Institution
1:00 PM Workshop D: Reforming the Role of Conduct in Financial Compliance
Embedding good conduct in both individuals and organisations is the key to ensuring sustainable financial compliance. Understanding the behaviour of both individuals and organisations in the end-to-end conduct and compliance processes further enables your organisation to counter conduct and non-compliance risks effectively.
However, faced with the growing temptation to take short cuts in retaining customers and earning profits, how can your organisation better arm itself to ensure strict conduct and compliance in every employee? As money laundering incidences increase, how can you ensure that your organisation does not fall prey to it?
Training relationship managers and front office to stay away from bad conduct
Interactive and novel methods to inculcate excellent conduct in your employees and organisation
Encouraging whistle-blowers through the top-down and bottom-up approach