The maximum fine for malpractice at securities companies will be raised from TWD 3.6 million currently to TWD 15 million.
Taiwan to Strengthen Supervision on the Use of Robo-Advisers
By
Published on
Popular
-
378ChinaCME Group Sees Opportunities in China Derivatives Market
CME Group's Russell Beattie said meetings with Chinese exchanges, regulators and brokerage firms were...
-
371ESG / SustainabilityEU to Include Finance Sector in Due Diligence Rules
New legislation will impose environmental and human rights due diligence obligations on both financial...
-
342Australia & NZPwC Australia Facing Loss of “Substantial” Government Contracts
A number of government agencies, including ASIC, are reviewing contracts with PwC Australia over...
-
336PhilippinesPhilippines to Launch First Sovereign Wealth Fund by Year-end
The Maharlika Investment Fund will be created by the end of this year, after...
-
320ESG / SustainabilityJapan’s FSA to Issue First Guidelines on Impact Investing
The guidelines will define novelty, effect, profitability, and disclosure as key requirements for impact...
-
310AML / KYCSFC Issues Guidance on Crypto Licensing Transitional Arrangements
Crypto firms with "meaningful and substantial presence" in Hong Kong prior to 1 June...
Partner Content
-
64Conduct and Control: Centralizing Trade Monitoring to Combat Market Misconduct
March 6, 2023 Eventus
-
1.8KSupTech is Changing the Way Regulators Interact with Industry
March 30, 2023 Editors, Regulation Asia
-
1.3KDerivatives Will Help Drive Net Zero Transition: ISDA’s Scott O’Malia
April 24, 2023 Editors, Regulation Asia
-
616Droit CEO Brock Arnason Discusses Challenges of Reporting Rewrites
April 27, 2023 Editors, Regulation Asia
To Top
Ashish Patangiya
Ashish is a banking professional with 23 years of techno-functional experience in Transformation, Digitization, Strategy, Data, Analytics, Business Process Re-engineering, Change and Risk Management across Wealth Management, Private Banking and Consumer Banking.
Bradley Maclean, Regulation Asia
Bradley is Co-Founder at Regulation Asia, the leading regulatory news intelligence service for the financial sector in APAC. Bradley advises governmental and start-up projects, including several regulated digital assets, climate markets and payments entities.
Previously Bradley oversaw Strategy with SunGard Financial Systems (now FIS), heading up strategic, business planning and product development across Asia, Africa, Latin America and the Middle East. Prior to this, he was a management consultant focused on private equity and alternative assets. He has also been involved in several high-profile research programmes, including assisting the US Treasury Department in accessing the Troubled Asset Relief Program (TARP) instituted following the 2008 global financial crisis.
Bradley is a senior Financial Regulation and Risk Management research fellow with The Guangzhou-Nottingham Advanced Institute of Finance and the Guangzhou University of Finance’s Institute of Financial Employment.
Focused on the broader economic impact of financial regulation, he holds Master’s degrees in Finance, Quantitative Research and Law from New York University’s Stern School of Business, the Hong Kong University of Science and Technology, and the University of Melbourne. He is currently a doctoral candidate at the Swiss Business School in Zurich.
Parsa Khoshdel, Synpulse
Parsa Khoshdel is an accomplished management consulting professional with more than 11 years of experience in private banking and financial services consulting.
He has extensive experience in driving large scale regulatory business transformation programs in collaboration with leading global financial institutions.
Parsa holds a Masters degree in Financial Engineering from National University of Singapore and is currently leading the PBWM Regulatory Compliance and Risk Management division for Synpulse in APAC.
Jane Soh, Charles Monat Associates
Jane is a highly motivated and accomplished professional with over a decade of experience in the financial services sector. Beginning her career as a practicing lawyer in Malaysia, she later transitioned to the financial services industry where she assumed responsibility for overseeing regulatory compliance and risk management.
Prior to her current role at Charles Monat Associates, Jane served as the Head of Compliance at both AAM Advisory and St. James’s Place Singapore, where she established robust policies and standards that were successfully integrated throughout the organisations.
Throughout her career, Jane has worked closely with advisors and business stakeholders to ensure that clients can easily conduct business with the firm while maintaining compliance with all regulatory requirements.
Osvaldo Berrios, NICE Actimize
Osvaldo is a Suitability & Wealth Management SME for NICE Actimize. Prior to joining NICE, he was a Financial Consultant with Fidelity Investments, where he helped retail and HNWI clients define their financial goals and provided them with financial planning concepts and solutions to meet those goals.
Before Fidelity, Osvaldo served around ten years at TIAA, working on the institutional side of the business for four years and the Wealth Management space for around six years. During his tenure at TIAA, he was a part of projects and pilots catering specifically to DOL and Suitability changes, including regulatory requirements and user interface.
Before joining TIAA, he was a Financial Advisor with Wells Fargo Advisors for two years, responsible for the Wealth Management offering out of 5 offices. Osvaldo began his career as a Financial Advisor at Bank of America / Merrill Lynch for around seven years, where he was responsible for running a Wealth Management practice across six offices.
Osvaldo has a bachelor’s degree in Finance from New Jersey City University. He also holds a Series 7, 63, 65, and Life & Health Producers licenses from the state of New Jersey.
Ken Nagatsuka
Mr Ken Nagatsuka is the Executive Director and Head of Payments Department at the Monetary Authority of Singapore (MAS). The department is responsible for the authorisation, ongoing supervision and policy-making in relation to payment systems and payment service providers, such as e-money issuers, remittance providers and digital payment token (more commonly known as cryptocurrency) service providers under the Payments Services Act.
Prior to this, Mr Nagatsuka has worked in the field of capital markets regulation for over 15 years, and was previously Head of the Capital Markets Policy Division responsible for policy formulation and reviewing legislation in relation to capital markets and market infrastructures. In his role, he represented MAS on various international committees under the FSB, CPMI and IOSCO, on subjects such as OTC derivatives reforms and financial market infrastructures. Prior to that, he also served in various roles in exchange and clearing house supervisory functions.
Mr Nagatsuka holds both a Bachelor of Business Management and Bachelor of Science in Economics from the Singapore Management University.
Ari Redbord
Ari Redbord is Head of Legal and Government Affairs at TRM Labs, a blockchain analytics company. Prior to joining TRM Labs, he served as a Senior Advisor to the Deputy Secretary and the Under Secretary for Terrorism and Financial Intelligence at the United States Department of Treasury. In this capacity, he worked with teams from the Financial Crimes Enforcement Network (FinCEN), Office of Foreign Assets Control (OFAC), and other Treasury and interagency components on issues related to sanctions, the Bank Secrecy Act, cryptocurrency, and anti-money laundering strategies.
Previously, Mr. Redbord served as a Senior Assistant United States Attorney for the District of Columbia, where he investigated and prosecuted cases related to cryptocurrency, terrorist financing, sanctions evasion, export control, child exploitation and human trafficking. He has received numerous awards from FinCEN, the FBI, and the United States Attorney’s Office, including the Attorney General’s Award for leading an interagency task force dedicated to prosecuting those who abuse and exploit children.
Powered by Social Snap