12th Annual Asset Management Asia Seminar - Legal, Regulatory & Compliance Issues

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Increased investor demands and a continually changing and complex regulatory environment continues to pose challenges for the Asian asset managers.

Now in its 12th year, Euromoney Learning Solutions is proud to once again present its annual Asset Management Asia Seminar covering the hottest legal, regulatory and compliance issues affecting the funds industry today.

Seminar highlights include

  • Assessing the impact of recent regulatory developments in Singapore, Hong Kong, China, Japan, ASEAN, Taiwan, Korea, Australia, the EU, and more
  • Examining the key challenges facing asset managers today
  • How market, technology and regulatory threats can be overcome with comprehensive compliance and internal control procedures
  • How investor expectations and the new era of regulation is affecting business performance


“A great opportunity to network with other industry players”
Legal & Compliance, Capital International Inc.

“Very useful, good structure. It is helpful to obtain a snapshot of the various Asian jurisdictions”
Legal Counsel, GMO Australia Limited

“This event gives a good overview of the regulatory requirements in the various key jurisdictions”
Head of Compliance, Schroder Investment Management (SG) Ltd

Special promotional rate for AIMA, CFA Institute, HKIFA and IMAS members - 20% off on the seminar fee!
Please contact us at
admin@euromoneylearningsolutions.com to register and enjoy this discount.

Endorsed by:

 Media Sponsor:






Who should attend

  • Compliance Managers
  • In-house Legal Counsel
  • Risk Managers
  • Prime Brokers
  • Fund Management Service Providers
  • Fund Managers and Distributors
  • Hedge Fund Managers
  • Investment Fund Managers
  • Lawyers
  • Pension Fund Managers and Trustees
  • Capital Market Managers
  • Regulators


We work with a series of expert instructors, please select the course location of interest to review the credentials of who will be delivering the programme.

11th Asset Management Seminar Speakers

Confirmed speakers include:
Sally Wong
Chief Executive Office, Hong Kong Investment Funds Association
Sally Wong is the CEO of the Hong Kong Investment Funds Association, a non-profit-making organization that represents the fund management industry in Hong Kong. She represents the industry in liaising with the authorities, legislators, media and other stakeholder groups to discuss issues that have implications to the mutual fund market and the Mandatory Provident Fund (“MPF”) Schemes market. She also takes an active role in investor education and research initiatives. Mrs. Wong is a member of the Hang Seng Index Advisory Committee and a member of the MPF Guidelines Committee. She is a member of the International Regulatory Affairs Working Committee of the International Investment Funds Association.
Tan Woon Hum
Partner, Shook Lin & Bok LLP

Woon Hum has advised on a wide range of investment funds, REITs, trust and corporate matters since 1996. He heads a team of specialist lawyers in the Trust, Asset & Wealth Management practice and co-heads the Corporate Real Estate practice. He advises on the establishment of traditional and alternative funds using Singapore and offshore funds structures such as unit trusts, corporate funds, limited partnership funds and listed REITs. He drafts and reviews the full range of fund documents. With his regulatory-related work, he works closely with the client and the regulators on the start-up phase, licence and exemption applications (including AIFM and RFMC), and the safe harbours and waivers applications. He also advises on the recognition of foreign funds, collective investment schemes and UCITs.
Stéphane Karolczuk
Head of Hong Kong Office, Arendt & Medernach

Stéphane Karolczuk is head of Arendt & Medernach’s representative office in Hong Kong, where he advises clients based in the Asia Pacific region regarding their Luxembourg legal and regulatory questions. He is admitted to practice in Hong Kong as Registered Foreign Lawyer. He also advises international clients on all issues relating to investment funds, such as the structuring, registration, marketing, public offering and listing of Luxembourg and foreign investment funds. He also advises and assists clients in relation to the selection and setting-up of investment structures, drafting of contractual and marketing documentation, and liaises with the Luxembourg financial regulator, the Commission de Surveillance du Secteur Financier (CSSF), and the Luxembourg Stock Exchange in relation to such matters. Stéphane has taken part in the activities of the Association of the Luxembourg Fund Industry (ALFI), the Hong Kong Investment Funds Association (HKIFA), the Hong Kong Private Equity and Venture Capital Association (HKVCA).
Thomas H. McGowan
Foreign Legal Consultant, Russin & Vecchi

Tom is a US licensed attorney with 37 years of Asia-based experience. He worked in Korea for five years before joining Russin & Vecchi, Taipei, as a foreign legal consultant in 1982. Tom’s practice focus is the financial services sector representing major MNC and investment banks, asset managers and private equity investors. Tom and his firm have an active practice in all aspects of the financial service business in Taiwan and offer in in-depth knowledge of both the history and current status of the Taiwan legal and regulatory environment. He is the author of the Taiwan Chapter of the Asia Development Bank’s Guide to Restructuring in Asia, 2001, Marketing Unit Trusts and Mutual Funds in Taiwan, Capital Guide to Marketing Unit Trusts and Mutual Funds in Asia, (2006) and the Taiwan chapter of the Capital Report on Asian-Pacific Fund Markets to 2010.
Fiona Smedley
Partner, Herbert Smith Freehills

Fiona Smedley is a financial services partner based in HSF’s Sydney office, advising a wide range of Australian and non-Australian funds and asset managers in relation to all aspects of establishing or acquiring, operating and selling funds and asset management businesses. Fiona is sought out for her industry knowledge and commercial approach and has been named as one of Australia’s best funds management lawyers in the Best Lawyers peer review surveys each year since 2010. She is also currently named as one of Australia’s best lawyers in the practice areas of: ‘corporate/governance practice’, ‘derivatives’, ‘equity capital markets’, ‘investment funds’ and ‘investment law’ and as a leading lawyer with Chambers for ‘investment funds’ and ‘financial services regulation’. Her clients include AXA, Blackstone, BT/Westpac, NAB/MLC, Morgan Stanley and UBS.
Christopher P. Wells
Partner, Morgan, Lewis & Bockius LLP
Christopher P. Wells is a partner with Morgan, Lewis & Bockius LLP. Named one of the most influential people in Asian hedge funds by AsianInvestor magazine, Chris has one of the leading international investment funds and financial regulatory practices in Japan. He focuses on establishing, operating, registering, and licensing investment funds and fund-related investment intermediaries in Japan, including banks, securities companies, asset managers, investment trust management companies, and moneylenders.
Additionally, Chris advises multinational financial groups on issues related to regulatory compliance and license qualification matters in Japan. He also represents companies in connection with forming and operating numerous multijurisdictional joint ventures and other investments in Japan.
Chris is ranked as a Band 1 leading individual for foreign investment funds and banking and finance regulatory work by Chambers Asia Pacific. He is currently a Co-Vice chair of the Alternative Investments Subcommittee of the American Chambers of Commerce in Japan and also a Co-Vice chair of the Executive Committee of the Japan Chapter of the Alternative Investment Management Association (AIMAJapan).
He served as the AIMA-Japan Chair from 2010 to 2013. Chris also led the Financial Services Committee of the American Chamber of Commerce in Japan from 1998 to 2007, where he coordinated various subcommittees covering the securities, banking and finance, investment management, insurance, private equity, real estate finance, pension and securitization, and ratings industries in Japan. Chris speaks on investment topics in Japan.
He received his B.A. from University of Rochester and MBA and J.D. from University of California, Los Angeles.
Benja Supannakul
Partner, Baker & McKenzie Ltd

Benja Supannakul joined Baker & McKenzie in 2001. Her expertise is in the areas of derivatives, structured finance, wealth management, private banking and debt capital markets, especially in regard to the regulatory matters under the laws and regulations issued by all regulators of Thailand. She also advises on banking and financial transactions for both Thai and international financial institutions and companies. Benja was named in Legal 500 Asia Pacific, 2016 as a "Leading Individual" and in Bankin, IFLR 1000: Guide to the World's Leading Business Lawyers, 2015-2016 as a "Rising Star".
Desmond Teo
Partner - Financial Services Tax, Ernst & Young Solutions LLP
Desmond is a Partner within Ernst & Young FSO, focusing on Asset Management and International tax in Singapore. He joined E&Y in 2002 and is based in the Singapore office.
He graduated from the Nanyang Technological University with a Bachelor of Accountancy (Hons.) and is a non- practicing member of the Institute of Certified Public Accountants of Singapore and also an Accredited Tax Advisor of SIATP.
Desmond has expertise in financial markets, with a focus on Asset Management and International Tax. He does cross-border structuring of investments and financing arrangements and is one of the Asia Pacific FATCA / CRS tax leads, and is an integral part of EY’s global FATCA and CRS network.
Desmond ’s experience includes providing tax advisory services covering feasibility and implementation of fund structures, cross-border structuring, group restructuring, tax due diligence and merger & acquisition structuring. He also often works with clients to identify suitable tax incentives that match their business needs, as well as assisting clients with making representations to Singapore authorities and negotiating the terms of such tax incentives. His clients include fund managers, large, global hedge funds, private equity funds as well as family offices.
Mercy Joseph
Senior Manager - Financial Services Tax, Ernst & Young Solutions LLP

Mercy is a Senior Manager with Ernst & Young Solutions LLP’s Financial Services Tax Group in Singapore. She leads and provides SME support to Singapore financial institutions implementing CRS. She has assisted various clients with their FATCA compliance. Her FATCA experience includes asset management, banks, professional trustee companies, REITs and insurance companies. In addition to providing advice on impact assessment, registration, legal entity classification, she assists various clients in their FATCA and CDOT reporting. Mercy provides tax advice on matters covering cross-border structuring, identifying and applying for tax incentives for Funds and IRAS ruling applications on various direct tax matters. She is the primary contact for various clients for their corporate tax compliance issues in respect of withholding tax and corporate tax filings. Mercy works closely with the regulators facilitating EY’s regular dialogue with the Singapore authorities as well as providing general feedback on FATCA/CRS aspects prior to joining EY, Mercy assisted private equity clients in conceptualising and implementing structures for making foreign investments into India.
Mercy graduated from the Mumbai University, India with a Bachelor’s degree in Commerce and is a member of the Institute of Chartered Accountants of India 
Andrew Fu
Partner, King & Wood Mallesons

Andrew obtained his LLB and LLM from Shanghai Institute of Foreign Trade. He joined King & Wood Mallesons in 2008. Before this, he was a Partner with LLinks Law Offices, another leading PRC firm.
Andrew specializes in securities offering, assets management, fund raising, project and structured finance, mutual fund and M&A’s of financial institutions. He has extensive experience on listing in the Hong Kong Market through advising local enterprises seeking overseas listings.
He also has extensive experience advising major international financial institutions in the PRC, equity investors, local commercial banks, trust and investment companies on financial service regulatory issues, M&A, derivatives and structured products. Andrew has advised many institutional investors and enterprises in complex corporate finance transactions.
Andrew has also been one of the core team members advising on the offering of many open-ended mutual funds, including “Hua An Innovation” - the first ever open-ended fund in the China market; Hua'An SSE 180 Enhanced Index Fund - the first ever index fund in China; and Hua'An Xianjinfuli Investment Fund - the first quasi money market funds in China. He advised domestic and international financial institutions on the establishment of several JV fund management companies, including those between Fortis and Haitong, Shenyin & Wanguo and BNP PAM, Shanghai International Trust and Investment and J.P. Morgan Fleming., and ICBC, CSFB and COSCO. Andrew has advised on a number of foreign banks' investments and strategic cooperation with local banks and other financial institutions. And he advises foreign and local financial institutions on their market entry strategies. As one of the core team members, Andrew advised Strategic Cooperation and Share Acquisition of the Shanghai Pudong Development Bank by Citibank, Shanghai Automotive Industry Corporation (Group)'s Share Acquisition of Ssangyong Motor Company. Andrew also represents, on a regular basis, many foreign commercial banks in their business, including structured products, asset management, private banking as well as structured finance transactions. 
Jane McBride
Partner, Deacons

Jane heads up the SFC Licensing, Compliance & Regulatory Team, a core part of Deacons' award winning Financial Practice Services Group, the market leader in Hong Kong in terms of size, depth of client base and the range of funds established.
She has 16 years of financial services regulatory compliance experience across the region, having worked in a number of in-house positions as well as private practice law firms.
Jane focuses her practice on SFC licensing and compliance as well as handling a wide range of securities, regulatory, contracts, mergers and acquisitions matters.
Jane has been consistently recommended as a leading lawyer for Financial Services Regulatory.
Pil-Kook Lee
Senior Foreign Attorney, Kim & Chang

Pil-Kook Lee is a senior foreign attorney in the firm’s Investment Management Practice Group and Securities Regulations Practice Group.
Mr. Lee has extensive experience in a wide range of cross-border transactions and regulated financial business activities. He has advised many companies on regulatory matters in connection with various financial business activities with an emphasis on investment management and securities business, including setting up Korean operation and licensing applications, cross-border business activities, registration of securities and funds for offerings to Korean investors, and regulatory compliance and examinations of domestic financial institutions. Mr. Lee also advises clients on foreign investments in Korean listed and unlisted companies, acquisitions of financial institutions, and general corporate law and regulatory matters arising from such transactions.



The Fullerton Hotel, Singapore

The Fullerton Hotel, Singapore

The Fullerton Hotel Singapore is a five-star luxury hotel located near the mouth of the Singapore River, in the Downtown Core of Central Area, Singapore.  It was originally known as The Fullerton Building, and also as the General Post Office Building. The address is 1 Fullerton Square.

The magnificent Fullerton Building is a grand Neo-classical landmark built in 1928. Gazetted in December 2015 as a National Monument, it was once home to Singapore’s General Post Office, the Exchange Rooms and Exchange Reference Library, and the prestigious Singapore Club. For nearly a century, it has played a pivotal role in Singapore’s rich history. Today, it has been transformed into a stunning 400-room heritage hotel.


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Day 1

08:30 Registration

09:00 Welcome

Kelli Haynes
Managing Director,
Euromoney Learning Solutions

09:05 Chairperson opening

Sally Wong
Chief Executive Office, Hong Kong Investment Funds Association 

09:15 Singapore funds regulations and updates - 2016

  • Regulatory framework for asset/fund managers
  • Benefits of a Singapore onshore fund versus offshore fund
  • Launching a fund in Singapore
  • Useful safe harbours and exemptions
  • Accredited Investor opt-in requirements
  • Key recent developments

Tan Woon Hum
Partner, Shook Lin & Bok LLP

10:25 Legal updates on asset management in China

  • Updates on administration and practice on MRF northbound
  • Updates on administration and regulatory guidance over money market funds
  • Updates on administration on private placed fund (the role and function of AMAC)
  • Updates on administration on foreign exchange issue of QFII quota

Partner, King & Wood Mallesons

11:30 Networking break
12:00 Japan regulatory update

  • Accessing Japanese capital under the limited “agency” model
  • Coping with the new Article 63 filings and disclosure requirements going forward
  • Scorecard on Japanese corporate governance after the new Corporate Governance Code
  • Rules of the road for shareholder-company interactions
  • Developments in enforcement sanctions against offshore asset managers

Christopher P. Wells
Partner, Morgan, Lewis & Bockius LLP

13:00 Networking luncheon

14:30 Updates on existing and new regulations on UCITS and AIFMD, new trends, products and opportunities

  • UCITS V and VI, AIFMD, PRIPS, EMIR, MiFID 2, etc overview of latest developments at EU level
  • UCITS V implementation, amendment of UCITS documentation and agreements, focus on remuneration policy for delegates
  • UCITS VI and other specific UCITS regulations
  • New trends and strategies in UCITS, update on PRC strategies
  • AIFMD, latest updates, focus on new trends and vehicles, substance, delegations, and third countries rules

Stéphane Karolczuk
Head of Hong Kong Office, Arendt & Medernach

15:30 Networking break

15:45 Hong Kong recent developments

  • SFC updates to the Professional Investor Regime
  • Updates on SFC Regulatory Audits
  • Licensing for fund managers based outside of Hong Kong
  • The SFC’s new scrutiny over cybersecurity
  • Latest updates on the OTC Derivatives Regime
  • MRF updates: Southbound registrations

Jane McBride
Partner, Deacons

16:55 Chairperson wrap up and Day 1 close

Day 2

09:00 Chairperson opening

09:10 Taiwan fund distribution - 2016
: Regulation and challenges

  • Update on implementation of "contribution to Taiwan" requirements for fund registration
  • Growing barriers to entry-options for new market entrants
  • Developments in the OBU/OSU/OIU channel
  • Expanding private placement opportunities
  • The opportunities for, and limitations on, mandates

Thomas H. McGowan
Foreign Legal Consultant, Russin & Vecchi

10:20 Overview of the latest regulatory and compliance issues in investment management in Korea

  • Managing assets for and providing investment advice to Korean investors
  • Offer and sale of offshore funds to Korean investors
  • Sale of offshore funds to Korean feeder funds and fund of funds
  • Evolving regulatory landscape and new opportunities
  • Litigation trends

Pil-Kook Lee
Senior Foreign Attorney, Kim & Chang

11:30 Networking break

11:45 Update in relation to Australian opportunities and regulation

  • Opportunities in relation to the new Managed Investment Trust regime
  • Changes to the Significant Investor Visa fund rules and lessons learned to date
  • Update in relation to accessing licensing exemptions and recent enforcement developments
  • Australian regulatory developments including corporate culture, the new corporate investment funds regime, product intervention powers, product suitability rules and the Asia Region Funds Passport 

Fiona Smedley
Partner, Herbert Smith Freehills  

13:00 Networking luncheon
14:20 Cross border marketing of funds and fund management services in Thailand

  • Fund management licensing requirement vs securities offering rule
  • Extra-territorial application?
  • Private placement exemption 
  • Reverse enquiry offering practice
  • ASEAN fund passport

Benja Supannakul
Partner, Baker & McKenzie Ltd

15:30 Networking break
15:45 FATCA and CRS Reporting

  • FATCA/CRS overview
  • How will FATCA/CRS impact investors?
  • How should the investors prepare themselves for FATCA/CRS?

Desmond Teo
Partner - Financial Services Tax, Ernst & Young Solutions LLP

Mercy Joseph
Senior Manager - Financial Services Tax, Ernst & Young Solutions LLP

16:55 Chairperson wrap up and end of Seminar

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