Market Contingency Planning and What it Means to the Financial Services Provider

16
Jul 2020

11:00 am - 1:00 pm

SIDC LMS

Speakers : Angelina Kwan

5 CPE
CPD*

MYR 350 *Fee is not inclusive of 8% SST

Market Contingency Planning and What it Means to the Financial Services Provider 

Learning Hours

2 hours (including Pre & Post Assessments)

Outline

Market Contingency Planning and What it Means to the Financial Services Provider

  • Global market outlook – An assessment of socio-economic changes and its business impact to financial services
  • The ‘New Normal’ and what it means to ‘business-as-usual’ for capital market businesses
  • Going concern status – Consider your/your company’s financial position, short-term capital, reserves and emergency reserves in relation to demands to continue business operations
  • Assessing potential consequences, contingency measures and new business plans
  • Continuity planning – Key products, key services, key people, key business connections, key technologies and the projected bottom line
  • Plan B implementation – Likely challenges and critical success factors (CSFs)
  • Risk and reputation management – Responding to stakeholders
  • ‘We are in this together’ – Importance of communication with key clients, customers and stakeholders – including the government and investors
  • Pay cuts and low morale – Managing impact on your workforce and what NOT to do
  • Reviewing and recalibrating your financial arrangements
  • Insolvency risks – Know your rights and legal obligations
  • Compliance for business resilience – Listen to the government and work with the regulator

Learning Outcomes

By the end of this session, participants will be able to:

  • Discuss current and developing global market issues
  • Explain socio-economic changes and its business impact to financial services
  • Define The ‘new normal’ for capital market businesses
  • Describe insights into main elements and key steps of contingency planning
  • Discuss contingency planning and its implementation challenges
  • Assess and consider new or revised implementation plans and potential consequences of contingency measures and new business plans
  • Discuss the economic impact post Covid-19 pandemic
  • Evaluate how the stimulus package will drive the economic recovery and growth

Competencies

Core – Risk Management (Proficiency Level 3)
Foundational (Product) – Capital Market Environment (Proficiency Level 3)
Behavioural (People Management) – Communication (Proficiency Level 3)
Behavioural (Organisational Leadership) – Strategic Thinking (Proficiency Level 3)
Behavioural (Organisational Leadership) – Stakeholder Management (Proficiency Level 3)

Target Audience

Individual 

C-Suites, Directors, Head of Compliance, Head of Legal, Financial Controllers, BCP Teams, Sustainability Officers, Risk Officers, Internal Auditors, Company Secretaries, Partners of Firms, Lawyers, Accountants, Corporate Consultants, Capital Markets Services Representative’s License Holders, Professionals Undertaking Corporate Advisory Work , PR & Communications Staff

Institutions 

Public Listed Companies, Fund Management Companies, Investment Banks, Participating Organisations, Trading Participants, Legal Firms, Accounting Firms and Consultancy Firms

 

 

Angelina Kwan
CPA, CA

 

Ms. Angelina Kwan is currently the Chief Executive Officer of Stratford Finance Limited, a consulting company focused on dealing with regulatory issues in the financial services and digital assets sectors. She advises brokerages, fund managers and technology providers. Most recently, Ms. Kwan was the Chief Operating Officer of the Bitcoin Mercantile Exchange (BitMEX) and had responsibility over BitMEX’s operations around the world. She has a strong background in financial regulation and operations as she established and ran the Regulatory Compliance Department and the HKEX Foundation Limited at Hong Kong Exchanges and Clearing Limited and previously worked at the Securities and Futures Commission as a Director of Enforcement and Supervision of Markets. Ms. Kwan has extensive experience in Asia Pacific and the United States in running businesses, business development, as well as investor and stakeholder relations. She is a regular speaker at international conferences and seminars on legal, regulatory, fund management, securities, FinTech, digital assets and corporate governance topics for regulators, governments, universities, and training providers.

She is currently a Hong Kong Government appointed Member of the Council for Sustainable Development, the Administrative Appeals Board, and the Lord Wilson Heritage Trust, a Director and Chair of the Audit Committee of the Securities Industry Development Corporation of Malaysia, Company Secretary of The Women’s Foundation, an Honorary Fellow and Director of the Hong Kong Securities Institute, and a Fellow of the Hong Kong Institute of Certified Public Accounts and the Chartered Accountants of Australia and New Zealand. Ms. Kwan is a Certified Public Accountant in the United States, Hong Kong, Australia, New Zealand and a graduate of the University of Southern California. Her MBA is from Pepperdine University and LLB from the Hong Kong University and the Manchester Metropolitan University.

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