White Collar Ethics &
Corporate Legal

eDiscovery,  Data Breach,
Investigation & Fraud

Regulatory Compliance for
Financial Services

09:00 – 09:50
Anti-Corruption Compliance (Part 1):
International Anti-Corruption Compliance

09:00 – 09:45
eDiscovery Challenges: Internet of Things, Cloud and Mobile BYOD

09:00 – 09:45
Anti-money Laundering  (Part 1):
KYC – Threat - Transaction

Examining multinational companies operating in developing countries and its local internal control regimes to avoid sanction, FCPA and UKBA violation.

  • How to report, respond and react effectively internally to ensure your senior management are aware of corruption risks?
  • What are the lessons that can be learnt from regional regulatory cases from the past 2 years?
  • What is your current approach to anti-corruption compliance?
  • Preventive measure and monitoring strategies for Asian companies can be very different compare to US or EU companies. What is best for my company?

Neill Poole, Executive Director,  AlixPartners

Monica Puri, General Counsel, SE Asia, Jones Lang LaSalle
Thiru Sethuraman, Director of Global Ethics and Compliance, Cummings Inc.
Andy Yeo, Partner, Allen & Gledhill LLP

A Perspective on 21st Century Information Management

  • How to manage corporate data in the 21st century workplace?
  • Examine the risks and challenges of eDiscovery in times where Internet of Things, Cloud and Mobile BYOD are increasingly popular

Denny Husen, Senior Manager, Fraud Investigations & Dispute Services, EY

Compliance with regulations concerning anti-money laundering, know-your-customer (KYC) and risk management imperatives has become a top priority for financial institutions as they struggle to anticipate and respond to known and emerging risks

This session, the speakers will discuss how to use advanced analytic and information to manage AML risk.

Frank Reppel, Managing Director, FICO™ TONBELLER® Compliance Solutions, FICO
Ghadeer Saed, Regional MLRO, Asia & EMAI, ANZ

09:50 – 10:00 Break

09:45 – 10:00 Break

09:45 – 10:00 Break

10:00 – 10:50
Anti-Corruption Compliance (Part 2):
Designing a Winning Compliance Program

10:00 – 10:45
Using TAR for Review of Investigation, Regulatory Responses and Discovery Requests

10:00 – 10:45
Anti-money Laundering (Part 2) :
Cross Border Risk Management

Companies of all sizes must develop, implement, enforce and continually update their compliance programs. In this session, you will learn how to design a winning compliance program for your company.

This session explores:

  • How to engage your employees in the compliance programs?
  • How to communicate policies effectively within the organization?
  • How to draft a strategic plan for the compliance function to top management?
  • How to effectively apply enterprise risk management to legal and regulatory compliance?

Brent Carlson, Director,  AlixPartners

Judy Chang, Global Head – Business Ethics & Compliance, PayPal
Luca Probst, Regional Compliance and Ethics Manager, UPS Asia Pac
Campbell Clark, General Counsel, Asia, Medtronic

  • What exactly is “Technology Assisted Review” (TAR)?
  • Discuss the defensibility and judicial acceptance of TAR
  • Using TAR to increase the efficiency  of review for investigations, regulatory responses and discovery requests

Conor Crowley, eDiscovery Counsel APAC, UBS AG
Michael Lew, Director – Singapore, Law in Order

  • What are the AML risks embedded in cross border fund flows? How significant is it?
  • To what extent are firms bounded by overseas regulations for cross border businesses?
  • Discuss challenges to comply with cross border AML requirements for firms in Singapore and what should be the priorities?

Marta Mihaly, MLRO, Eastspring Investments
Erik Wilgenhof Plante, Chief Compliance Officer, itBit Pte


10:50 – 11:00 Break

10:45 – 11:00 Break

10:45 – 11:00 Break

11:00 – 11:45
Internal Control and Data Analytics

11:00 – 11:45
Technology Showcase: ONE SIZE FITS ALL
Document Review (Myths or Facts?)

11:00 – 11:45
Information Governance and Dark Data Management

Within the legal, risk and compliance space, many companies have adopted the “continuous monitoring” and “continuous auditing” methods used to detect fraud and other risks within organization.

  • Discuss the increasing role of legal department in enterprise risk management
  • Examine reasons why traditional approaches to risk management are no longer effective
  • Use of data analytics to help companies better understand the value and risks in their information assets
  • Real-life examples of using analytics to detect emerging risks

Benjamin Thong, Director, EY
Suryanto Narmada, Head of Audit, Aviva

In the legal community, most people know that predictive coding and analysis technology, including disruptive technology, has the ability to dramatically reduce document review time and costs, as well as raise accuracy well beyond traditional linear review techniques. However, there is no such thing is ONE SIZE FITS ALL.

This session, the speaker will showcase the understanding of which technology works best for which type of data and what information it needs to help direct its decision making about e-discovery tools.

Anthony Ranansinghe, Manager, Business Development APAC, Kroll Ontrack
Mari Ono, Case Manager APAC, Kroll Ontrack

The amount of operational information —both structured and unstructured— that companies create and store are drastically increasing due to digitisation and mobility. Dark data management emerged as another challenge for corporate information governance. Under the increasing pressure from new regulatory regime and consumer expectation, corporate data must be well managed if companies wish to survive in today’s information age.

This session explores natures of corporate information legal risks in the context the Big Data and offers insights on information governance to transform data from a liability into an asset.

Dr. Sonny Zulhuda, Assistant Professor and Cyber Law Course Coordinator, International Islamic University Malaysia

11:45 – 12:00 Break

12:00 – 12:50
Cross Border Data Flows and Cloud Computing

12:00 – 12:50
Simulated Workshop: Cybersecurity Risk Oversight (for corporate and non-banking professionals)

12:00 – 12:50
Simulated Workshop: Cybersecurity Oversight for Financial  Institutions

The shift towards cloud has ushered in a whole new set of legal complexities that cannot be underestimated. It is important to understand the many benefits that come with cloud services including from a privacy and security standpoint.  At the same time, lawyers need to understand and assess how and where information is collected, stored and used – and the regulatory implications of data crossing borders. 

  • What are the risks associated with cloud services?
  • What existing and emerging laws need to be considered, including in relation to cross-border data flows?
  • What are the key questions every customer should be asking their cloud provider – and what answers can you expect? 

Steven Howard, General Counsel APAC, Sony Mobile Communications
John Galligan, Regional Director for Government Relations, Microsoft Asia Pacific & Japan

In this session, you will:

  • Discover the role management play in setting the right tone around protocol for cyber risk
  • Learn the key questions senior executives should be asking themselves to prepare for a potential cyber breach. 
  • Obtain insights on how to collaborate with other companies, regulators and law enforcement to minimize vulnerabilities
  • Learn what an effective incident response plan is and how to best secure core data.

Jonathan Fairtlough, Managing Director, Cyber Security and Investigations Practice, Kroll
Ajay Kumar Dhir, Group CIO & CHRO, Adhunik Group of Industries, India

Kroll investigators who previously worked at international banks will guide attendees through a data breach scenario at a bank.  In this session you will:

  • Understand the potential access points for a data breach
  • Identify the paralysis points that hold up Financial Institutions when responding to a data breach
  • Understand and mitigate limitations of banking silos
  • Some considerations when designing an  incident response plan
  • Recommendations to effectively secure core data

Daniel Chong, Associate Managing Director, Cyber Security and Investigations Practice, Kroll
Joseph Florendo, Managing Consultant, Cyber Security and Investigations Practice, Kroll

12:50 – 14:00 Exhibition and Networking Break

14:00 – 14:45
Third Party Due Diligence and Case Studies Discussion 

14:00 – 14:45
Asset misappropriation Investigation and
Prevention plan

14:00 – 14:45
Multi-Jurisdictional Investigations

The growing use of third parties has seen increased regulatory scrutiny of such practices, but are organisations keeping up with the latest developments and ensuring they act in an appropriate manner? Understanding the challenges faced, alongside the ever shifting regulatory boundaries, is crucial to getting this area of business right.

This session will look at recent case studies, as well as some statistics based on recent reports, to underline where firms need to improve in their use of third parties, the due diligence processes involved, and the cost of getting it wrong.

Sam Gibbins, General Manager (Asia), GRC Solutions

Global statistics show that Companies lose 5% of their annual revenue to fraud.  Asset misappropriation, one of the three categories of occupational fraud, is by far the most common. 

This session, the speaker will discuss about asset misappropriation and how you can mitigate the risk and respond to it.   The speaker will also speak about her personal experience in investigating such frauds and preventive measures to address asset misappropriation.

Stacy Chai, Fraud Investigation & Dispute Services, EY

  • Planning for cross-border dispute resolution strategy and identifying key priorities
  •  Coordinating complex litigation and arbitration proceedings across multiple jurisdictions
  • Common scenarios involving joint ventures, financial disputes and transnational projects
  • Interplay between U.S., U.K., China, Hong Kong and various offshore jurisdictions

Sidarth Khashu, Director, Fraud Investigation & Dispute Services, EY

Wan Kwong Weng, Managing Director, Group General Counsel, Mapletree Investments
Charles Ball, Partner, Reed Smith
Stanley Park, Managing Director and Head of Legal – Asia Pacific, Scotiabank

14:45 – 15:00 Exhibition and Networking

15:00 – 15:45
Regulatory Compliance Enforcement & Management

15:00 – 15:45
Malware & Botnets:
Can Your Financial Service Companies Survive a Vicious Cyber Attack?

In this session, you will learn how to put in place processes to deal with formal requests and actions by financial regulators and law enforcement agency to deal with financial misconduct and market abuse.

You will also learn how to strengthen the compliance culture and preventative aspects of mitigating against enforcement actions.

Nizam Ismail, Advisory Board, RHT G.R.A.C.E.
Robin Lee, Chief Executive Officer, RHT G.R.A.C.E.

  • Identification of cybercrime peculiar to financial service companies
  • How organized cybercrime cause potential loss and risk to financial service companies
  • How in-house cyber security professionals and management team may collaborate with outsourcing security companies and government agencies to combat cyber security
  • Case studies of risk management to protect financial service companies from and combat cybercrime and cyber attack
  • Value of Cloud in FSI for cybersecurity & data protection

Kanny Lee, Executive Director, Forensic Technology and Disputes Services, EY

Pierre Noel, Chief Security Officer, Asia,  Microsoft Corporation
Keshav Dhakad, Senior Attorney & Regional Director, Microsoft Digital Crimes Unit, Asia, Microsoft Corporation

15:45 – 16:00 Exhibition and Networking

16:00 – 17:00
Grand Finale –
Cross Border Data Breach Cases and Legal Complexity

16:00 – 17:00
Grand Finale –
Governance, Risk and Compliance

Cinematheque Experience: Popcorn and Margarita

This session, the facilitators will walk you through a movie segments that consist of cybercrime, data breach and investigation scenarios.
Participants will be asked to spot any irregulars and criminal activities in the movies. Our facilitators will show case a series of problems as well as best practices corporation can use to prevent, detect, investigate and eliminate latest cyber crime activities

This is a fun and interactive sessions to stimulate participants capable skills and ideas to fight white collar crime activities and comply with latest regulations while navigate legal complexity

Darren Cerasi, Director, i-Analysis

Sannie Sng, Litigation and Investigation, UBS AG, Singapore
Kyle Wombalt, Global Head – Corporate Crime and Investigations, Herbert Smith Freehills

  • What are the key industry pressures coming from regulators, both in Singapore and abroad?
  • How has increased regulation affected KYC and on-boarding processes for financial services firms?
  • How does changes in Outsourcing guidelines impact on financial services?
  • How can compliance and legal best work in partnership to foster a good conduct risk?
  • How is the changing nature or regulation impacting business objectives?

Sam Gibbins, General Manager (Asia), GRC Solutions

Daniel Furtwaengler, Head of Sales APAC, Signavio
Delon Abrams, Assistant General Counsel, Regional Legal, Markets and Securities, Citi
Maria van der Burgt, Regional Head of Global Compliance Assurance APAC, Barclays Compliance




Empress Room 3-5, Level 2

Carlton Hotel Singapore

7th July 2015



Title Sponsor


Gold Sponsors

Kroll Ontrack

Silver Sponsors




Supporting Organizations

isaca sg

Media Partner


For delegate registration, marketing cooperation, sponsorship or speaking opportunities, please contact us at
+ 852-6801-9775 or Jeffrey.teh@innoxcell.net