DEVELOPING ASIAN CAPITAL MARKETS

ASIFMA Annual Conference 2016 Draft Program (as of 28 July 2016)

DAY 1 (Thursday 17 November 2016) - Global and Regulatory Topics Conference Location: Marina Mandarin Singapore, Marina Mandarin Ballroom – Level 1

(6 Raffles Boulevard, Marina Square, Singapore 039594) Morning Session - Closed-Door Regulator Meetings (For 30-50 regulators by invitation only, closed to the media)

*Topic to be discussed with the conference’s program working group

*For each topic, it begins with a short presentation summarizing the industry’s views, followed by a short panel discussion and in-depth interaction with the audience who are restricted to policymakers, central banks and public officials.

08:30-09:00 Breakfast with Regulators 09:00-09:45 Meeting 1 09:45-10:30 Meeting 2 10:30-10:45 Coffee Break

10:45-11:30 Meeting 3

DAY 1 (Thursday 17 November 2016) - Global and Regulatory Topics (Con’t) Afternoon Session (For all conference participants, open to the media) 11:30-12:15 Delegate Check-in & Buffet Lunch 12:15-12:30 Welcome Remarks 12:30-13:00 Keynote 1 (and short interview on stage)

[MAS]

13:00-13:30 Keynote 2 (and short interview on stage) [IOSCO] 13:30-14:15 Panel 1: Global Regulators

Antonio de Lecea, Principal Advisor to the Director General, Directorate General for Economic and Financial Affairs, European Commission

Nick Miller, Head of EU & Global Department, Financial Conduct Authority (FCA) Jingdong Hua, Vice President, Treasury and Syndications, International Finance

Corporation, World Bank Group [IOSCO] [SEC] [CFTC] [ECB] [ESMA] [RBA] [FSB]

14:15-14:45 Coffee Break 14:45-15:30 Panel 2: Asian Regulators

Cesar Purisima, Secretary for Finance, The Philippines Rapee Sucharitakul, Secretary-General, Securities and Exchange Commission,

Thailand [CSRC] [FSA] [EMEAP] [SEC Malaysia] [SEBI]

15:30-16:15 Panel 3: Asian CEOs

Ajai Kaul, CEO & Head of Asia Pacific ex-Japan Client Group, AB Steve Lackey, Chairman, Asia Pacific, BNY Mellon Mark Talbot, Managing Director, Asia Pacific, FIL Investment Management Michael Falcon, CEO, Asia Pacific, J.P. Morgan Global Investment Management [One more Bank]

DAY 1 (Thursday 17 November 2016) - Global and Regulatory Topics (Con’t) 16:15-16:45 Keynote 3

Blythe Masters, CEO, Digital Asset Holdings

16:45-17:00 Wrap Up for Day 1 ******** Evening Session – ASIFMA 10th Anniversary Dinner Reception (For 100-140 people by invitation only, closed to the media) Dinner Venue: Aura Sky Lounge, Level 6, National Gallery Singapore

Address: 1 St. Andrews Road, 06-02 National Gallery Singapore, Singapore 178957 Entrance is on Coleman Street. Please access from Supreme Court Lane.

18:00-18:45 Guest Check-in and Cocktail 19:00 Welcome Remarks and Dinner Starts 19:30-20:30 Global CEO Panel

Chu Gang, COO, China International Capital Corporation (CICC) Piyush Gupta, CEO and Director, DBS Group Sridhar Chandrasekharan, Global CEO, HSBC Asset Management [One more Bank and one more Asset Manager]

21:30 Dinner Concludes Sponsorship Details for Dinner Reception Tables: HKD22,000 nett (per table of 10 persons)

Half Table available but subject to ASIFMA’s discretion on partnering Individual seats will only be considered if Tables are available in November on a

first-come-first-served basis Regulators: At least 2 allocated per table on first-come-first-served basis Investors: At least 1 allocated per table on first-come-first-served basis Timeline: Tables will be available based on following schedule:

Confirmed Conference Sponsors by end of July ASIFMA Board by end of August ASIFMA Members by end of September Non-Members by end of October

DAY 2 (Friday, 18 November 2016) - Global Markets Topics [Topic to be discussed with the program working group] Morning Break-out Session – Stream A (For all conference participants) 08:30-09:00 Delegate Check-in 09:00-09:45 Panel A1 09:45-10:30 Panel A2 10:30-11:00 Coffee Break 11:00-11:45 Panel A3 11:45-12:30 Panel A4 12:30-13:15 Panel A5 Morning Break-out Session – Stream B (For all conference participants) 09:00-09:45 Panel B1 09:45-10:30 Panel B2 10:30-11:00 Coffee Break 11:00-11:45 Panel B3 11:45-12:30 Panel B4 12:30-13:15 Panel B5 13:15–14:15 Buffet Lunch Afternoon Concurrent Roundtables (For all conference participants, Closed to the media) 14:15-14:20 Welcome and Introduction to Concurrent Roundtables

*There are two consecutive sessions of 4 simultaneous roundtables, each representing a designated topic with at least two moderators leading the discussion. Delegates are able to join any table of their choosing.

14:20-15:00 Concurrent Roundtables 1, 2, 3 and 4 15:00-15:30 Coffee Break 15:30-16:10 Concurrent Roundtables 5, 6, 7 and 8 16:10-16:20 Closing Remarks

DEVELOPING ASIAN CAPITAL MARKETS

ASIFMA Annual Conference 2016

Event Factsheet (Draft) Theme: Developing Asia’s Capital Markets Dates: Thursday 17 November – Friday 18 November, 2016 Location: Marina Mandarin Singapore, Singapore Objective: This flagship annual event of ASIFMA is a high-level, industry-wide event, providing a unique opportunity for global and regional policy makers, senior regulators and industry representatives from both sell side and buy side to meet and discuss important issues impact the development of Asia’s capital markets. Program format: Two-day conference with keynote speeches, presentations, panels, concurrent workshops, closed-door regulators’ meetings and networking sessions. Speaker: Global and Asian policy makers, regulators, industry experts and senior representatives from sell-side and buy-side communities. Sponsorship: Sponsorship opportunities are open to ASIFMA members and non-members. Delegate profile: Expected to attract 400-500 high-level regulators, policy makers, market practitioners, sell-side and buy-side representatives, initially by invitation-only and then marketed to a wider audience. Delegate fees: Admission is free of charge for invited regulators and confirmed speakers. Discounted rate at USD850 applies to members of ASIFMA and the conference endorsers (original price at USD1,000). Sponsorship packages include a limited number of delegate passes. Media Contact: The event is open to the press. For all media inquiry, please contact Corliss Ruggles (cruggles@asifma.org) ASIFMA Contact: Michelle Cheung, Head of Events and Conferences (mcheung@asifma.org)

Past Events: 3rd edition in Hong Kong: December 2015

- 460+ delegates - 23 sponsors (Bank of New York Mellon, CAIA ,Citi, Credit Agricole, DTCC ,Ernst & Young,

Euroclear, Financial Times ,Goldman Sachs ,ING, J.P. Morgan, Latham & Watkins, Lexcel Partners, Markit, Merrill Lynch (Asia Pacific) Ltd, Moody's, Nomura, Societe Generale, Standard & Poor's, Standard Chartered Bank, Thomson Reuters, Tradeweb and Westpac)

- 21 endorsers (AIMA, AmCham, APSA, ACT, AUSTCHAM, AFMA, BROKERS Forum, CAIA, EuroCham Singapore, FIMMDA, HKIFA, HKSA, HKSFA, Hong Kong Trustees’ Association, INFINZ, ICMA, JFMC, NZFMA, PASLA, SFJ and TMA)

- 13 media partners (CNBC, Barron’s, BondRadar, Dow Jones, FinanceAsia, GlobalCapital, Global Trading, IFLR, Mergermarket Group, Nex Change, Regulation Asia, The Trade and The Wall Street Journal)

2nd edition in Singapore: November 2014

- 400+ delegates - 24 sponsors including Bank of America Merrill Lynch, BNP Paribas, BNY Mellon, CAIA

Association, Chicago Booth, Citi, Clearstream, CLS, Crédit Agricole, DTCC, Eurex Clearing Asia Pte Ltd, Euroclear, Goldman Sachs, ING, J.P. Morgan, Latham & Watkins, Markit, Moody's, Morgan Stanley, Nomura, Societe Generale, Standard & Poor's Ratings Services, Thomson Reuters, Tradeweb and Westpac)

- 16 endorsers (AIMA, AmCham, AmCham Singapore, APSA, ABS, ACT, BROKERS Forum, CAIA, CFA Institute, HKSI, INFINZ, ICMA, KOFIA, NZFMA, PASLA and SAS)

- 11 media partners (Bloomberg, Asia ETrading, AsianInvestor, Dow Jones, FinanceAsia, GlobalCapital, IFLR, Institutional Investor, Regulation Asia, The Trade Asia, The Wall Street Journal)

1st edition in Hong Kong: November 2013

- 440+ delegates - 32 sponsors (Allen & Overy, BAML, Barclays, BNP Paribas, BNY Mellon, Citi, Clearstream, CLS,

Davis Polk, DBS, Euroclear, Fitchratings, Goldman Sachs, HSBC, Latham & Watkins, Moody’s, Morgan Stanley, Promontory, Soc Gen, Standard & Poor’s, Standard Chartered, SWIFT, Thomson Reuters, Westpac, White & Case, Clifford Chance, Credit Agricole, DTCC, ING, Mizuho, and Nomura, J.P. Morgan)

- 18 endorsers (AFME, AFMA, AmCham, APSA, AustCham Hong Kong & Macau, EuroCham, FIMMDA, HKSA, HKIFA, International Compliance Association, ICMA, JFMC, JSDA, KOFIA, NZFMA, PASLA, SIFMA, TMA)

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About ASIFMA Annual Conference 2015 ASIFMA Annual Conference themed ‘Developing Asia’s Capital Markets’ has been established as the pre-eminent industry-wide, regional event for the financial community providing a unique opportunity for global and regional policy makers and high-caliber industry representatives from both sell side and buy side to meet and discuss important issues impacting the development of Asia’s capital markets. The 2015 edition was held in December 2015 in Hong Kong. The conference gained support from over 460 attendees. More than 100 speakers including senior representatives from Securities and Futures Commission (SFC), Hong Kong Exchanges & Clearing Limited (HKEx), Monetary Authority of Singapore (MAS), Indonesian Financial Services Authority (OJK), Securities & Exchange Commission of the Republic of the Philippines, Financial Supervisory Service of Korea (FSS), European Commission, U.S. Commodity Futures Trading Commission (CFTC) and many other leading financial institutions.

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We highly appreciated the valuable supports from 23 sponsors including Bank of New York Mellon, CAIA ,Citi, Credit Agricole, DTCC ,Ernst & Young, Euroclear, Financial Times ,Goldman Sachs ,ING, J.P. Morgan, Latham & Watkins, Lexcel Partners, Markit, Merrill Lynch (Asia Pacific) Ltd, Moody's, Nomura, Societe Generale, Standard & Poor's, Standard Chartered Bank, Thomson Reuters, Tradeweb, Westpac and 21 endorsers as well as 13 media partners.

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We have received very positive feedback from the stakeholders including speakers, delegates, sponsors, endorsers and media partners. Most of them found the speakers excellent, the discussions highly informative, concurrent roundtables interactive, and the conference thought provoking and enjoyable with the opportunity to meet the various senior representatives with similar interests in financial regulation.

Event Website: For more about ASIFMA Annual Conference 2015: http://www.asifma.org/annual2015/ For more information about ASIFMA events: http://www.asifma.org/events/

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List of Participating Organizations in 2015: Aastocks Limited Active Investments Capital Limited AGROY Finance & Investment Ltd. Algomi Allen & Overy LLP AllianceBernstein Holdings AllianceBernstein L.P. Ashurst LLP Asian Development Bank (ADB) Asia-Pacific Structured Finance Association Limited ASIFMA Asset Publishing and Research Limited Association of Corporate Treasurers (ACT) Australia and New Zealand Banking Group (ANZ) Australian Consulate-General Australian Financial Markets Association Limited (AFMA) Australian Securities & Investments Commission (ASIC) Baillie Gifford & Co Bank for International Settlements Bank of America Merrill Lynch Bank of Japan (BOJ) Bank of Tokyo-Mitsubishi, UFJ Ltd Barclays Barron's BCB Group BlackRock Bloomberg L.P. BMO Global Asset Management (Asia) Limited BNP Paribas BNP Paribas Investment Partners BNY Mellon British Consulate-General British Embassy Brown Brothers Harriman & Co. BSE Ltd. (Bombay Stock Exchange) BVI Financial Services Commission (HK) Limited Celent

Central Pattana Public Company Limited CFFEX (China Financial Futures Exchange) Chenavari Investment Managers China Radio International (CRI) CIMB Group Citi CITIC Securities Co., Ltd. CITIC Securities Co., Ltd. CitiTrust Limited Clearstream Banking SA Clifford Chance LLP CNBC Commerzbank AG Commerzbank AG (Hong Kong Branch) ComplianceAsia Consulting Ltd. Control Risks Group Holdings Ltd Cordium Credit Agricole Credit Suisse Group AG Daiwa Capital Markets DBS Bank Dealogic Deloitte Deutsche Bank AG Dow Jones Newswires DTCC DZ Bank AG Eastspring Investments Ernst & Young LLP ET Net Limited Eurex Frankfurt AG Euroclear European Commission European Union Office Fidelity Worldwide Investment Fidessa group plc FIL Capital Management (HK) Limited FinanceAsia

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List of Participating Organizations in 2015 (Con’t): Financial News Financial Supervisory Service Korea Financial Times FinTech Hong Kong First State Investments (Hong Kong) Limited Focus Ventures Freshfields Bruckhaus Deringer Fubon Bank Futures & Options World FX Week GlobalCapital GlobalCapital Asia GlobalTrading Goldman Sachs International Hanwha Investment & Securities Co Ltd Haymarket Media Group HKEx (Hong Kong Exchanges & Clearing Limited) Hong Kong Commercial Broadcasting Co., Ltd. Hong Kong Economic Times Limited Hong Kong Exchanges and Clearing Limited Hong Kong Investment Funds Association Hong Kong Monetary Authority (HKMA) HSBC HSBC Global Asset Management Hsin Chong Construction Group Ltd. Huatai Financial Holdings IFLR Euromoney Institutional Investor IFR (International Financing Review) Ignites Asia, a Financial Times Service Incisive Financial Publishing (Hong Kong) Limited Infocast Media Ltd ING Bank NV Instinet Pacific Ltd. International Bankers Association of Japan International Capital Market Association (ICMA) International Financial Law Review International Monetary Fund (IMF) INV Partners

J.P. Morgan Asset Management JPMorgan Chase & Co. Jun Yang Financial Holdings Limited Juris Corp advocates & solicitors Kapronasia KCG Holdings, Inc Korea Securities Depository (KSD) KPMG LLP Kustodian Sentral Efek Indonesia L'Agefi Hebdo Latham & Watkins LLP Lazuli International. Legal Aid Department HKSAR Lexcel Partners, Attorneys at Law Manulife Financial Asia Limited Markit Asia Pte. Ltd. Markit Group Limited Mergermarket Group Metro Boardcast Corporation Ltd Microsoft Corp Ministry of Economy and Finance, Cambodia Mirae Asset Global Investments (Hong Kong) Limited MLex Monetary Authority of Singapore (MAS) Moody's Moody's Investors Service Ltd. Morgan Stanley MSCI Inc. NASDAQ National Bank of Kazakhstan NexChange (Hong Kong) Limited Nikkei Inc. Nikko Asset Management Co., Ltd. Nomura Nordea Bank Norton Rose Fulbright

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List of Participating Organizations in 2015 (Con’t): NSE India (National Stock Exchange of India Limited) Nuoxin Capital (Hong Kong) Limited OJK - Indonesia Financial Services Authority Orient Overseas (International) Ltd Oriental Daily News Pacific Alliance Group Ltd. Pacific Hawk (HK) Ltd. Parametrica Management Limited Peerless Securities Ltd. Phillip Capital Management Phoenix Satellite Television Co Ltd Pikeman Energy Ltd. Port Shelter Ltd. PricewaterhouseCoopers LLP Principal Global Investors, LLC Private Equity International PT Kliring Penjaminan Efek Indonesia (KPEI) PT Kustodian Sentral Efek Indonesia (KSEI) Pureheart Capital Asia Limited Regulation Asia Reuters RMB Week Ryan Financial Communications Limited SBI-SG Global Securities Services Pvt. Ltd SBI-SG Global Securities Services Pvt. Ltd Schroders Securities & Exchange Commission Thailand Securities and Exchange Commission of the Philippines Securities and Futures Commission Securities Commission Malaysia Securitization Forum of Japan Seeking Alpha SGX (Singapore Exchange Limited) Shearn Delamore & Co. Siemens Ltd Hong Kong SIFMA Societe Generale

South China Morning Post Publishers Limited Standard & Poor's Standard Chartered Bank Standard Chartered PLC State Street Bank and Trust Company State Street Corporation State Street Global Advisors Sun Hung Kai & Co. Limited Sun Hung Kai Financial Limited SWIFT T. Rowe Price Group, Inc. T. Rowe Price Hong Kong Limited Ta Kung Pao Ta Kung Pao (HK) Ltd. The Corporate Treasurer The Depository Trust & Clearing Corporation (DTCC) The Epoch Times The Goldman Sachs Group, Inc. The Hong Kong Society of Financial Analysts The International Securities Consultancy The Royal Bank of Scotland plc The Standard Newspapers Publishing Limited The Wall Street Journal Thomson Reuters Tigerspike Tradeweb LLC Treasury Markets Association Tung Shing Securities (Brokers) Limited U.S. Commodity Futures Trading Commission (CFTC) UBS AG UK Trade & Investment University of Hong Kong Vistra Hong Kong Vivien Teu & Co Wellington Management Company Western Pacific International Ltd.

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ASIFMA Annual Conference 2015 Final Program

VENUE: Conrad Hong Kong (Grand Ballroom, Lower Lobby)

DAY 1 (Wednesday, 2 December 2015) - Global and Regulatory Topics Morning Session - Closed-Door Regulator Meetings (For regulators only, by invitation only, closed to the media)

*For each topic, it begins with a short presentation summarizing the industry’s views, followed by a short panel discussion and in-depth interaction with the audience who are restricted to policymakers, central banks and public officials.

08:30-09:00 Breakfast with Regulators 09:00-09:45 Meeting 1: Impact of FinTech on Traditional Banking

Catherine Simmons, MD and Head of Government Affairs, Asia Pacific, Citi Janos Barberis, Founder, FinTech Hong Kong Alokik Advani, ED, Head of Principal Strategic Investments (PSI), Asia Pacific,

Goldman Sachs Mark Austen, CEO, ASIFMA (Moderator)

09:45-10:30 Meeting 2: Infrastructure Financing in Asia

James Abbott, Senior Associate, Allen & Overy Eric Wu, Director, Infrastructure, BlackRock Marc Freydefont, Senior Director, Fixed Income – Asia Solutions, Credit Suisse Jonathan Donne, MD, Co-Head of Structured Credit Trading, Asia Pacific,

Goldman Sachs Mark Austen, CEO, ASIFMA (Moderator)

10:30-10:45 Coffee Break

Briefing on Cebu Action Plan Mandate for Capital Market Development Julius Caesar Parrenas, Senior Advisor, Nomura

10:45-11:30 Meeting 3: SME Financing in Asia Giacomo Giannetto, Senior Financial Sector Specialist, East Asia Regional

Department, Asian Development Bank (ADB) Chu Chong Lim, MD, Head of SME Banking, Institutional Banking Group, DBS Douglas Arner, Professor, Asian Institute of International Financial Law, University

of Hong Kong (HKU) Mark Austen, CEO, ASIFMA (Moderator)

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DAY 1 (Wednesday, 2 December 2015) - Global and Regulatory Topics Afternoon Session (For all conference participants) 11:30-12:30 Delegate Check-in & Buffet Lunch 12:30-12:40 Welcome Remarks

Gene K. Kim, Chairman, ASIFMA; MD, Regional Head, Financial Markets, Greater China & North Asia, Standard Chartered

12:40-13:00 Keynote 1 - Charles Li, CEO, Hong Kong Exchanges & Clearing Limited (HKEx)

(followed by short interview on stage by Mark Austen, CEO, ASIFMA) 13:00-13:20 Keynote 2 - Ashley Alder, CEO, Securities and Futures Commission (SFC)

(followed by short interview on stage by Wayne Arnold, Senior Columnist, Barron’s Asia)

13:20-14:10 Face-Off: Developing a Global Regulatory Framework – Asia, Europe and the US Ashley Alder, CEO, Securities and Futures Commission (SFC) Maria Teresa Fabregas Fernandez, Head of Unit, Financial Markets Infrastructure,

European Commission Eric Pan, Director, Office of International Affairs, U.S. Commodity Futures Trading

Commission (CFTC) Wayne Arnold, Senior Columnist, Barron’s Asia (Moderator)

14:10-14:40 Coffee Break 14:40-15:30 Panel 1: Asia Regulator Challenges: Developing Capital Markets in a Global Environment

Cathie Armour, Commissioner, Australian Securities & Investments Commission (ASIC) Ir. Nurhaida, Head Executive for Capital Market Supervision / Member of Board

Commissioners, Indonesian Financial Services Authority (OJK) Yao Loong Ng, ED, Markets Policy & Infrastructure Department, Monetary Authority

of Singapore (MAS) Ephyro Amatong, Commissioner, Securities & Exchange Commission, Republic of the

Philippines James Shipton, ED, Intermediaries Division, Securities and Futures Commission (SFC)

Michelle Price, Asia Regulation Correspondent, Reuters (Moderator)

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15:30-16:20 Panel 2: Cost of Financial Market Compliance

Mark Militello, APAC Regional Head of Markets Group, BNY Mellon

Neil Katkov, Senior VP, Asia, Celent

Tony Wood, Partner, Deloitte

Royce Miller, Partner, Head of Asia Financial Services Practice, Freshfields Bruckhaus Deringer

Marie-Anne Kong, Partner, PwC

Philippa Allen, CEO, ComplianceAsia Consulting Ltd (Moderator)

16:20-16:40 Keynote 3 - Tae-Jong Seo, First Senior Deputy Governor, Financial Supervisory Service, Korea (FSS) (followed by short interview on stage by Michelle Price, Asia Regulation Correspondent, Reuters)

16:40-16:50 Wrap Up for Day 1

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DAY 2 (Thursday, 3 December 2015) - Global Markets Topics Morning Break-out Session – Stream A (for all conference participants) 09:00-09:45 Panel A1: RMB Internationalization - Challenging USD Dominance?

Agnes Tsang, Consultant, Allen & Overy Stephen Schwartz, Senior VP, Credit Policy, Moody's Investors Service Yang Zhao, China Chief Economist, Nomura Carmen Ling, MD & Head of RMB Solutions, Standard Chartered Douglas Arner, Professor, Asian Institute of International Financial Law, University of

Hong Kong (HKU) Lisa Jucca, Editor in Charge, Asia Financial Services, Reuters (Moderator)

09:45-10:30 Panel A2: Accessing China's Markets - Lessons Learned

Emma Quinn, Senior VP, Global Co-Head of Equity Trading, AB TF Cheng, MD, Head of Greater China Business, BNP Paribas Investment Partners Cindy Chen, Head of Securities Services, Hong Kong, Citi Kenneth Kok, ED, Head of Equity One Delta Product Marketing, Goldman Sachs Chris Ryan, MD, Head of Asia Pacific, MSCI Nick Ronalds, MD – Head of Equities, ASIFMA (Moderator)

10:30-11:00 Coffee Break 11:00-11:45 Panel A3: Opening Up India – What Are the Remaining Hurdles?

Ashishkumar Chauhan, MD & CEO, Bombay Stock Exchange (BSE) Rajiv Gupta, Partner, Head of India Practice, Singapore, Latham & Watkins Ravi Varanasi, Chief Business Development, National Stock Exchange of India Ltd (NSE) Neeraj Gambhir, MD and Head of Fixed Income, India, Nomura H Jayesh, Senior Partner, Juris Corp (Moderator)

11:45-12:30 Panel A4: ASEAN: 2015 and Beyond

Ephyro Amatong, Commissioner, Securities & Exchange Commission, Republic of the Philippines

Kuldeep Singh, MD, ASEAN Head of Markets & Securities Services, Citi Kenneth Tang, Senior Portfolio Manager, ASEAN Equity, Nikko Asset Management Julius Caesar Parrenas, Senior Advisor, Nomura Mark Austen, CEO, ASIFMA (Moderator)

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12:30-13:15 Panel A5: Infrastructure Financing: How Can the Private Sector Help? Eric Wu, Director, Infrastructure, BlackRock Leng-Fong Lai, Partner, Clifford Chance Tony Adams, CIO, Infrastructure, Eastspring Investments Jonathan Donne, MD, Co-Head of Structured Credit Trading, Asia Pacific, Goldman Sachs Thomas Jacquot, Senior Director, Corporate & Infrastructure Ratings, Standard & Poor's

Ratings Services Bryant Edwards, Partner, Latham & Watkins (Moderator)

13:15–14:15 Buffet Lunch Morning Break-out Session – Stream B (for all conference participants) 09:00-09:45 Panel B1: FinTech: Who’s Going to Eat Whose Lunch?

Michael Schmidt, Chairman, Algomi Zennon Kapron, Founder and Director, Kapronasia James Mirfin, MD, Financial & Risk for North Asia, Senior Site Leader for Hong Kong,

Thomson Reuters Aki Ranin, Commercial Director, Tigerspike Janos Barberis, Founder, FinTech Hong Kong (Moderator)

09:45-10:30 Panel B2: Infrastructure Connectivity: Do the Plugs Fit?

Stephanie Marelle, Head of Hong Kong, BNP Paribas Securities Services

Andrew Douglas, MD of Government Relations for Europe & Asia, The Depository Trust & Clearing Corporation (DTCC); CEO, DTCC’s European Trade Repository

Frederic Hannequart, Chairman, Euroclear Jaehoon Yoo, Chairman and CEO, Korea Securities Depository (KSD) Julian Chesser, MD, Head of Processing, APAC, Markit Paul Day, MD, Head of Asia Operations, Morgan Stanley (Moderator)

10:30-11:00 Coffee Break 11:00-11:45 Panel B3: FICC Market Liquidity: Much Ado About Nothing?

Andrew Ng, Group Executive, Head of Treasury & Markets, DBS Bryan Collins, Portfolio Manager, Fidelity International Filippo Gori, Head of Sales & Marketing, Markets and Investors Services, APAC, J.P.

Morgan Simon Maisey, MD, Finance and Business Department, Tradeweb Naveen Khanna, Director, COO, Rates & Currencies Trading, Global Markets, Bank of

America Merrill Lynch (BAML) (Moderator)

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11:45-12:30 Panel B4: Cybersecurity: The Next Big Threat? Ben Wootliff, MD - Hong Kong, Control Risks Group Holdings Ltd Todd Stewart, ED, Financial Services Risk Advisory – Cyber Security, EY Angelina Kwan, MD - Head of Regulatory Compliance, Hong Kong Exchanges &

Clearing Limited (HKEx) Andrew Cooke, Regional Director - Legal Affairs, Microsoft Asia Pacific & Japan Karl Schimmeck, MD, Financial Services Operations, SIFMA (Moderator)

12:30-13:15 Panel B5: Asset Management: Successes and Challenges

Stewart Aldcroft, CEO, CitiTrust Limited, Hong Kong Michele Bang, Deputy CEO, Eastspring Investments Jungho Rhee, CEO, Mirae Asset Global Investments (Hong Kong) Limited Frederick Laydon, COO - Asia, Principal Global Investors Lieven Debruyne, CEO, Hong Kong & China, Head of Intermediary Business, Asia

Pacific, Schroders Eugenie Shen, MD – Head of Asset Management Group, ASIFMA (Moderator)

13:15–14:15 Buffet Lunch Afternoon Concurrent Roundtables (Closed to the media) 14:15-14:20 Welcome and Introduction to Concurrent Roundtables

*There are two consecutive sessions of 4 simultaneous roundtables, each representing a designated topic with at least two moderators leading the discussion. Delegates are able to join any table of their choosing.

14:20-15:00 Concurrent Roundtables (closed to the media)

Roundtable 1: Commodities: What Are the Opportunities in China? Will Asia Become a Global Commodities Trading Powerhouse? Rebecca Brosnan, MD, Head of Asia Commodities Department, Global Markets

Division, Hong Kong Exchanges & Clearing Limited (HKEx) Madhav Shankar, MD, Head, Commodities Sales and Structuring, Standard

Chartered Roundtable 2: Local Currency Markets: Almost 20 Years After the Asian Financial Crisis, Have Markets Sufficiently Developed? Lawrence Low, MD, Office of Regulatory Affairs, J.P. Morgan Sherry Madera, Minister Counsellor and Director, Financial Professional Services

and ICT, UK Trade and Investment (UKTI)

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Roundtable 3: Culture: Have Banks Done Enough to Change Their Work Environments? Are Market Codes of Conduct Part of the Answer? James Lockyer, Development Director, Association of Corporate Treasurers (ACT) John Baker, MD, Chief Administrative Officer and Head of Conduct & Culture

Office, Asia ex-Japan, Nomura Roundtable 4: Trust and Confidence: Cross-Border Supervision Michael Karbouris, Head of Business Development, Asia Pacific, NASDAQ Kishore Ramakrishnan, Director, Financial Services Risk & Regulatory Consulting,

PwC

15:00-15:30 Coffee Break 15:30-16:10 Concurrent Roundtables (closed to the media)

Roundtable 5: TBTF: Have We Cracked It? Does It Make Sense in an Asian Context? Vanessa Le Leslé, Head of Office of Regulatory Affairs, APAC, J.P. Morgan Carter McDowell, MD, Associate General Counsel, SIFMA

Roundtable 6: KYC: Will Asian Regulators Support the Creation of Global Utilities? Will This Help with Financial Inclusion? Jean-Remi Lopez, Manager, Asia Pacific, Strategic Initiatives, The Depository Trust

& Clearing Corporation (DTCC) David Williams, Director, Head of APAC Product: MCPM & KYC Services, Markit Roundtable 7: Exchange Corporate Governance: Is It Too Easy for Companies to Suspend Themselves from Trading? Should Dual Share Structure Schemes Be Allowed? Matthias Feldmann, Partner, Hong Kong, Clifford Chance Vasundhara Pradeep, MD, Head of Prime Consulting, Asia Pacific, Credit Suisse Roundtable 8: OTC Derivatives: The Next 12 Months in Derivatives Regulation Jacky Mak, Director, Regulatory Reform Asia Pacific – Global Markets, Bank of

America Merrill Lynch (BAML) Filippo Santilli, MD, APAC Head of Sales and Relationship Management, Markets

Group, Hong Kong, BNY Mellon Maria Tsani, Senior Manager, Group Public Affairs, Standard Chartered

16:10-16:20 Closing Remarks

Mark Austen, CEO, ASIFMA

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ASIFMA Annual Conference 2016 Developing Asia’s Capital Markets

17-18 November 2016

Singapore

Draft Sponsorship Proposal

Sponsorship Packages Price (HKD) Member

Price (HKD) Non-Member

Gold* 64,800 86,400

Silver* 32,400 43,200

Cocktail* 150,000 200,000

VIP Luncheon (Day 1)* 86,400 115,200

VIP Luncheon (Day 2)* 86,400 115,200

Exhibition Booth* 54,000 72,000

Interactive Event Mobile App* 54,000 72,000

E-Banner on Interactive Event Mobile App 5,400 7,200

Delegate Bags* 32,400 43,200

Name Badge Lanyards* 21,600 28,800

On-site Banner Placement* 21,600 28,800

Conference Pens* 21,600 28,800

Delegate Bag Inserts 16,200 21,600

Material Distribution via Shared Tables 10,800 14,400

*Early-bird Discount:

10% off for confirmation of more than one sponsorship package on or before 3 months prior to the event.

CONFERENCE Sponsorship Opportunities Multiple allocations available Gold – HK$64,800 for Members and HK$86,400 for Non-Members 1 preferential speaking slot (panelist or moderator role to be determined at ASIFMA’s discretion) 5 full conference delegate passes for staff and/or qualified guests Highest level of logo placement and acknowledgement in all conference publicity materials Company profile and advertisement in conference program

Silver – HK$32,400 for Members and HK$43,200 for Non-Members 2 full conference delegate passes for staff and/or qualified guests Middle level logo placement and acknowledgement in all conference publicity materials Company profile and advertisement in conference program NETWORKING Sponsorship Opportunities Single allocation available Cocktail Reception on Day 2 - HK$150,000 for Members and HK$200,000 for Non-Members Exclusive cocktail event for conference participants following the conference (inclusive of drinks) 1 keynote speaking slot at the cocktail 20 cocktail passes for staff and/or qualified guests 1 speaking slot at the conference (panelist or moderator role to be determined at ASIFMA’s

discretion) 5 full conference delegate passes for staff and/or qualified guests Logo placement and acknowledgment in all conference and cocktail publicity materials Company profile and advertisement in conference program

VIP Conference Lunch Day 1 – HK$86,400 for Members and HK$115,200 for Non-Members Exclusive lunch event for a selection of 40-50 conference participants (inclusive of catering) 1 keynote speaking slot at the lunch on Day 1 2 VIP lunch passes for staff and/or qualified guests on Day 1 2 full conference delegate passes for staff and/or qualified guests Logo placement and acknowledgment in all conference and lunch event publicity materials on Day 1 Company profile and advertisement in conference program

VIP Conference Lunch Day 2 – HK$86,400 for Members and HK$115,200 for Non-Members Exclusive lunch event for a selection of 40-50 conference participants (inclusive of catering) 1 keynote speaking slot at the lunch on Day 2 2 VIP lunch passes for staff and/or qualified guests on Day 2 2 full conference delegate passes for staff and/or qualified guests Logo placement and acknowledgment in all conference and lunch event publicity materials on Day 2 Company profile and advertisement in conference program

MARKETING Sponsorship Opportunities Exhibition Stand (max 8 allocations) – HK$54,000 for Members and HK$72,000 for Non-Members 1 booth in a designated area on Day 1 and Day 2 (set up and managed by sponsor, location

determined at ASIFMA’s discretion) 2 full conference delegate passes for sponsor to attend the conference and manage the booth on

Day 1 and Day 2 Logo placement and acknowledgement in all conference publicity materials Company profile in conference program Interactive Event Mobile App (1 allocation) – HK$54,000 for Members and HK$72,000 for Non-Members

Exclusive sponsorship for the advanced, multi-use conference communications tool using conference participants’ own mobile phones for real-time posting of questions, polling, emailing, attendee messaging and conference information updates

Leading sole e-banner advertisement in the mobile app (with link to your preferred website, e-banner design by the Sponsor, 640x150 pixels and 552x150 pixels. Only PNG, JPEG, or GIF images)

3 e-documents under ‘Reference Info’ section for app users to download

1 preferred icon image under ‘Sponsors and Supporters’ section (icon design by the Sponsor, 216 x 216 pixels, PNG only)

Branded at 1 preferred polling session during the conference

3 delegate passes for Sponsor’s staff and/or qualified guests

Logo placement and acknowledgment in all conference publicity materials

Company profile and advertisement in conference program E-Banner on Interactive Event Mobile App (max 8 allocations) – HK$5,400 for Members and HK$7,200 for Non-Members *only if the above “Interactive Mobile App Service” package is not taken.

1 e-banner advertising opportunity in the mobile app (with link to your preferred website, rotating with other e-banner sponsors, e-banner design by the Sponsor, 640x150 pixels and 552x150 pixels. Only PNG, JPEG, or GIF images)

1 e-document available under ‘Reference Info’ section for app users to download Delegate Bags (1 allocation) – HK$32,400 for Members and HK$43,200 for Non-Members Delegate bags with logo placement for all conference attendees (co-branded only with ASIFMA) Logo placement and acknowledgement in all conference publicity materials Company profile in conference program Opportunity to distribute 1 item of your own marketing material or giveaway via the conference

delegate bag

MARKETING Sponsorship Opportunities (Con’t) (SOLD)Name Badge Lanyards (1 allocation) – HK$21,600 for Members and HK$28,800 for Non-Members Lanyards with logo placement for all conference attendees (co-branded only with ASIFMA) Logo placement and acknowledgement in all conference publicity materials Company profile in conference program Opportunity to distribute 1 item of your own marketing material or giveaway via the conference

delegate bag

On-site Banner Placement (max 8 allocations) – HK$21,600 for Members and HK$28,800 for Non-Members Opportunity to place 2 easy-pull-up-banners of your organization at the conference venue (one

in the foyer area, one inside the main conference room) Logo placement and acknowledgement in all conference publicity materials Company profile in conference program

Conference Pens (1 allocation) – HK$21,600 for Members and HK$28,800 for Non-Members Pens with logo placement for all conference attendees (co-branded with ASIFMA) Logo placement and acknowledgement in all conference publicity materials Company profile in conference program Opportunity to distribute 1 item of your own marketing material or giveaway via the conference

delegate bag Delegate Bag Inserts - Sponsor’s Own Material (max 6 allocations) – HK$16,200 for Members and HK$21,600 for Non-Members Opportunity to distribute 1 unique branded giveaway or 1 item of your own marketing material via

the conference delegate bags for all conference attendees Logo placement and acknowledgement in all conference publicity materials Company profile in conference program

Material Distribution via Shared Tables (max 6 allocations) – HK$10,800 for Members and HK$14,400 for Non-Members Opportunity to distribute 1 branded giveaway or 1 item of your own marketing material via the

shared tables at the conference venue (Note: Materials of other organizations may also be distributed via the same shared tables.)

Logo placement and acknowledgement in all conference publicity materials Company profile in conference program

ENDORSER Opportunities Branding as the Conference’s Endorser for Non-Member Trade Associations 1 full conference delegate pass for staff and/or qualified guest Purchase delegate passes at Member price Logo placement and acknowledgement in all conference publicity materials Endorser will promote the conference by mass email distribution of the conference invitation and

issue reminders to the Endorser’s members and/or clients, posting the conference information on the Endorser’s website and newsletters from three months prior to the conference.

Important Notes: ** All sponsorship opportunities will be allocated on the basis of first come and confirmed, first served. If you require time for your internal approval process, ASIFMA can reserve the package(s) for you for a maximum of 1 week. ** The sponsorship prices may be subject to change and mutual agreement will be required. Interested parties should contact Michelle Cheung at mcheung@asifma.org or +852-2531-6531. We appreciate your continued support of ASIFMA and look forward to seeing you at the conference.