AsianInvestor attended the 3rd Annual Compliance Summit Asia on November 6 at the Ritz-Carlton Hong Kong. The event examined compliance risks and organisational strategies that help to ensure compliance with regional and global regulations.
Speakers discussed how international regulation affects business in Asia and how to manage dual compliance with local regulations.
Other topics included vetting procedures, onboarding clients in different regions and Hong Kong as a gateway to China.
Speakers included Steve Tarrant, Asia-Pacific deputy head for compliance surveillance strategy at Goldman Sachs, who discussed the differences in regulators' approaches to handing out penalties.
To view our gallery of photos, please click here.