Registration報到

Opening Remarks SFB or SFI

SEC overview and the trends of supervision in capital market
(綜觀SEC及探討全球資本市場監理之新趨勢)
-The Introduction of US Securities Market and SEC’s Responsibility
．Public company disclosures/ accounting fraud
-SEC Enforcement
．Enforcement trends
．Enforcement challenges/tools
．International cooperation
-Best Practices for companies in SEC investigations
．Self-reporting
．Cooperation
-Some Enforcement areas affecting multi-national companies
．Foreign Corrupt Practices Act (background and recent cases)
．Anti-Money laundering (background and recent cases)

CFTC overview and the trends of the futures market and supervision
(CFTC監理理念及其對全球期貨市場之看法及監理趨勢)
-Trends in intermediary oversight

Lunch Time

Anti-Money Laundering and Countering Terrorism Financing of Futures Industry
(洗錢防制及打擊資恐實務及案例)
-Crypto assets, Anti-money laundering
* U.S. SEC 將會現場參與並針對議題進行分享與討論

Anti-Money Laundering in Capital Markets
(資本市場之洗錢防制實務及案例)

Tea Break

Cybersecurity and FinTech
(資訊安全與金融科技)
-Cybersecurity
-Examinations
-Effective Practices
-Automated Investment Advice (“Robo-Advisors”)
-Electronic Messaging
-Crypto Currency Challenges

Registration

Building a Risk-Based Examination Program
(建構風險基礎檢查計畫)
-Risk-Based Selections and Examinations
-Focused Initiatives
-Using Data Analytics and Technology
-Chief Compliance Officer
．Interaction with Financial Industry
* U.S. CFTC將會現場參與並針對議題進行分享與討論

Whistleblower Protection in Listed company and Financial Industry
(上市公司及金融業吹哨者保護)
-Whistleblower protection rules
-Whistleblowers in Enforcement and Examinations
-Whistleblower awards
-Factors considered
．Confidentiality of Whistleblower’s identity
．Retaliation/other actions that impede reporting
．Creating a whistleblower-friendly environment
* U.S. CFTC將會現場參與並針對議題進行分享與討論

Lunch Time

The trend of Fintech and its implications on the supervision
(全球金融科技新潮流下之金融監理趨勢)
-Fintech / Regtech
* U.S. SEC將會現場參與並針對議題進行分享與討論

The development of central clearing mechanism of OTC derivative products
(店頭衍生性商品集中結算新制度)
-CFTC regulations
-Case study