Past Events

APAC financial industry outlook: business strategies and market analysis

Drew Brick, Head of Market Structure Strategy, APAC Bloomberg L.P

Asia's competitive landscape continues to shift, driven by regulatory change, balance sheet constraints and business opportunities. Market players do observe changes to business models and the pursuit of non-traditional revenue streams 

In this seminar, Drew Brick from Bloomberg LP will present his views on key trends within the APAC region including:

Business strategies and the impact of e-trading and data management.
Growing competition for financial industry players and information providers.
Sell-side and buy-side strategies, and market shares across asset classes and currencies.
New liquidity sources, data analysis and future trends in Asia.

Drew Brick is part of Bloomberg's Global Market Group and is responsible for assisting core product teams with identifying, planning for and managing market structure change. Drew has over 25 years of buy-side and sell-side experience. On the buy-side, Drew was a senior Portfolio Manager and Global Strategist for the fixed income asset manager, PIMCO. He was a member of PIMCO’s Global Investment Committee. He was on the Board of Directors for PIMCO Global Advisors Asia. He was also a partner and portfolio manager for the U.S. macro hedge fund GreenRidge Asset Management. On the sell-side, Drew served as Managing Director and Head of Markets Strategy at RBS and BNP Paribas. Drew has lectured on International Finance at the Wharton School of the University of Pennsylvania and on Asian Political Economy at Johns Hopkins University -- the latter of which where he earned and worked on his Masters and Ph.D., respectively. 

Japan Compliance Investigations : case studies from financial services and other industries

Mr. James Hough, Partner, Litigation Department, Morrison & Foerster

Businesses are facing increased scrutiny of their business practices from regulators and other authorities.  This often results in a need to put in place a system to conduct internal investigations.

Investigations can vary in their structure, from simple fact finding to more overarching and complex risk assessments.  To facilitate these processes, external firms are often brought in to  provide support.

In this seminar, James Hough from Morrison & Foerster will set out compliance-related lessons learned from conducting internal investigations in Japan over the past 4 years including for financial services firms. The presentation will cover:

Corruption/Fraud Risks
Books and Records/Internal Control Risks
Antitrust Compliance
Data Protection
Privilege Issues
Best practices for internal investigations

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