What compliance factors should a securities firm consider when participating in virtual asset activities, and how can AI and automation facilitate this transformation?

In recent years, virtual assets have emerged as a prominent subject within the financial industry. Traditional brokerage firms have a unique opportunity to capitalize on this trend and achieve substantial rewards while delivering superior customer service. In doing so, what factors should securities firms consider in terms of compliance? Moreover, how can the integration of AI and automation technologies aid them in succeeding in this new Web3 venture?

• Amy Kwan, General Manager, ICO Technology Limited
• Johnny Chan, Principal and Founder of Chan King Wong and Co. and Ex-Chief Legal and Compliance Officer of China Merchants Securities International Co., Ltd. and Ex- Senior Legal counsel of ABN Amro Bank N.V. Hong Kong
• Jack He, Head of Technical Service, Kingsware

• Opening Speech
• Compliance Consideration on Crypto Activities 
  • Roles for securities firm to participate in Crypto market
  • Custodians consideration
  • Additional measurement for securities consideration in compliance
• How  Automation Help in Web3 Transformation for Brokering Firm? 
  • Use RPA to integrate traditional trading/ asset management systems with Crypto counterparts in terms of reporting, statements,etc.
  • Use RPA to help with KYC or Crypto transaction tracking
  • Sample RPA scenarios introduction of a major brokerage company in Hong Kong

Remarks:
* The agenda is subject to change without prior notice.
* The event is by invitation only. Successful registrants will receive a confirmation email upon approval.
* In the event of any dispute, the decision of ICO Technology Limited shall be final.