Building the Skills You Need for Success in Wealth Management September The Westin Singapore

Transcription

1 Building the Skills You Need for Success in Wealth Management September The Westin Singapore Platium sponsor Bronze sponsor

2 PLATINUM SPONSOR 1 st Leonteq has received more than 20 awards since its foundation in 2007 THE QUINTESSENCE OF OUR MISSION STATEMENT LET S REDEFINE YOUR INVESTMENT EXPERIENCE Leonteq s explicit goal is to make a difference through particular transparency in structured investment products and to be the preferred technology and service partner for investment solutions. We count on experienced industry experts with a focus on achieving client s goals and a first class IT infrastructure, setting new standards in stability and flexibility. OUR DIFFERENTIATION Modern platform Integrated IT platform built from ground up with a focus on automation of key processes in the value chain Platform functionality to address increased customer demand for transparency, service, liquidity, security and sustainability Vertical integration Control of the entire value chain as a basis for proactive service tailored to specific needs of clients Automation of key processes mitigating operational risks Competitive cost per issued product Modern platform resulting in a competitive cost per issued product allowing for small ticket sizes LEGAL DISCLAIMER Leonteq Securities (Singapore) Pte. Ltd (CMS ) ( Leonteq Singapore ) is responsible for the distribution of this publication in Singapore. It is licensed and regulated by the Monetary Authority of Singapore for dealing in securities. The services and products it provides are available only for or in relation to institutional investors and accredited investors which are corporations, each as defined in Section 4A of the Securities and Futures Act (Cap. 289 of Singapore). This document is being communicated to you solely for the purposes of providing information regarding the products and services that the Leonteq group currently offers, subject to applicable laws and regulations. Any including only partial reproduction of this publication, or any article or picture is solely permitted based on an authorization from Leonteq Singapore. No responsibility is assumed in case of unsolicited delivery. Leonteq Securities (Singapore) Pte. Ltd All rights reserved. LEONTEQ SECURITIES (SINGAPORE) PTE. LTD. Company Registration Number N 8 Marina View #39-02, Asia Square Tower 1 Singapore Phone Fax sg@leonteq.com

3 BUILDING THE SKILLS YOU NEED FOR SUCCESS IN WEALTH MANAGEMENT WELCOME We are delighted to host our second Building the Skills You Need for Success in Wealth Management 2015 today in Singapore. Various dynamics led by growing client sophistication, digital solutions, compliance obligations and nextgeneration needs are increasing the expectations from clients about the skill-sets that RMs need to build lasting and profitable relationships. This is also forcing RMs to rethink what they should be doing and where they can add real value to their clients. As a result, many face a real danger of being unable to build their personal offering and proposition, or to protect and grow existing client books, because they lack the competencies and capabilities required. This event has therefore been designed for anyone who has genuinely decided to take their career in wealth management more seriously and who is striving to be a true professional in delivering on the promise they make to their clients. The agenda is not about technical product or compliance knowledge. Instead, senior market practitioners will share expertise to answer key questions, such as: How can you be more effective? How can you use your time better? How can you create more impact? How can you find new clients? How can you get more business from existing clients? How can you get referrals? We are also video-recording the presentations and writing up content and will send this to you. Thank you for your support and attendance. We hope you enjoy the forum. MICHAEL STANHOPE CHIEF EXECUTIVE OFFICER & FOUNDER HUBBIS

4 4 BUILDING THE SKILLS YOU NEED FOR SUCCESS IN WEALTH MANAGEMENT 2015 Agenda-at-a-glance Morning Afternoon AGENDA-AT-A-GLANCE 9.00am 9.05am 9.30am 10.15am 10.35am 10.55am 11.25am 11.55am Welcome Address by Michael Stanhope Keynote address What will you do when you re replaced by technology? Strategies for Success Panel discussion Interactive discussion on how you create a strategy for success Refreshments & Networking Ethics How to balance sales with compliance? Prospecting 1.30pm 2.15pm 2.45pm 3.30pm 3.50pm 4.30pm 5.00pm How to manage your day effectively? How to be effective and productive? Kees Studies Refreshments & Networking Presenting your ideas with impact Panel discussion Training your client - how to have suitable product related discussion with your clients? Ends 12.40pm Lunch

5 External Wealth Management Platform YOUR KEY TO INDEPENDENCE Are you a Private Banker? Have you ever considered being independent? Do you want a lifestyle change? IF YES TO ALL OF THE ABOVE, LOOK NO FURTHER, CONTACT SWISS-ASIA FINANCIAL SERVICES PTE LTD INFO@SWISSASIA-GROUP.COM

6 6 BUILDING THE SKILLS YOU NEED FOR SUCCESS IN WEALTH MANAGEMENT 2015 Full Agenda 8.40am 9.00am Registration Welcome address Michael Stanhope Chief Executive Office and Founder 9.05am Keynote address What will you do when you re replaced by technology? Kees Stoute Managing Director 9.30am Strategies for Success AGENDA David MacDonald Head of Learning Proactive or reactive? Getting the client fit right Defining where you can find opportunities Mapping an activity plan to your strategy How do you challenge client thinking? 10.15am Chair Panel Panel discussion Interactive discussion on how you create a strategy for success Michael Stanhope Chief Executive Officer & Founder Kees Stoute Managing Director David MacDonald Head of Learning 10.35am Refreshments & Networking

7 BUILDING THE SKILLS YOU NEED FOR SUCCESS IN WEALTH MANAGEMENT am Ethics Andrew Chow Partner, Financial Services Regulatory WongPartnership What does being ethical really mean today? The ethical choice - doing the right thing, not just staying on the right side of the law Snap quiz using real life scenarios ethical or not? 11.25am How to balance sales with compliance? Kees Stoute Managing Director Compliant selling how to remain on the right side of your compliance team How to create a safe selling culture Suitability and selling finding the balance As simple as needs-based selling? 11.55am Prospecting David MacDonald Head of Learning AGENDA How s your presence? The core skills needed to prospect successfully Where to prospect The power of client referrals 12.40pm Lunch

8 8 BUILDING THE SKILLS YOU NEED FOR SUCCESS IN WEALTH MANAGEMENT pm How to manage your day effectively? David MacDonald Head of Learning Focus in an age of distraction Time stealers Establishing an effective structure A Time 2.15pm How to be effective and productive? Michael Stanhope Chief Executive Officer & Founder AGENDA How to work smarter Have the confidence to challenge your clients Traits of highly successful people Ability to execute Decision makers Highly disciplined The toolkit of a successful RM 2.45pm Kees Studies Kees Stoute Managing Director With 20 years in Asian private banking, Kees has seen and heard it all. Real life experience sharing How to keep clients When to fire the client 3.30pm Refreshments & Networking

9 BUILDING THE SKILLS YOU NEED FOR SUCCESS IN WEALTH MANAGEMENT pm Presenting your ideas with impact David MacDonald Head of Learning Logical vs. emotional connection Levels of thinking Need feature benefit The power of stories 4.30pm Panel discussion Training your client - how to have suitable product related discussion with your clients? A new mind-set for a long term solution Communicating and interacting with clients Avoiding the product pitch Preparing your client for sophisticated products Ignore training your client at your own peril Chair Michael Stanhope Chief Executive Office and Founder Panel Jeremy Ng Managing Director & Deputy Chief Executive Officer, Asia Leonteq Securities AGENDA Steve Knabl Managing Partner Swiss Asia 5.00pm Kees Stoute Managing Director Ends

10 10 BUILDING THE SKILLS YOU NEED FOR SUCCESS IN WEALTH MANAGEMENT 2015 Speaker biographies Andrew Chow Partner, Financial Services Regulatory Practice WongPartnership SPEAKERS Andrew has extensive experience in financial services regulatory matters, with an emphasis on banking and capital markets legal and compliance advisory. As one of the first dedicated compliance professionals in Singapore, Andrew has worked for various international financial institutions across the Asian region. He advises on a wide spectrum of regulatory issues and developments, and has previously guided each of the financial institutions he worked in on regulatory compliance with statutes, regulations, notices and guidelines in Singapore including the Banking Act, the Securities and Futures Act (SFA), the Financial Advisers Act (FAA), the Trust Companies Act, the Commodity Trading Act administered by the Monetary Authority of Singapore (MAS) and other regulatory bodies. Apart from his advisory roles, he also developed the compliance processes and procedures for those institutions, including other risk, operational and IT policies and procedures where legal and compliance input was essential. In the 16 years prior to joining WongPartnership, the financial institutions Andrew worked for were: Standard Chartered Bank, where he established the compliance department, and was actively involved in managing the issues surrounding the collapse of Baring Futures and its parent; and Baring Brothers & Co. in the UK. He then moved to Toronto Dominion Bank/TD Waterhouse, where he led in the establishment of TD Waterhouse in Hong Kong as one of the first Asian discount brokers while overseeing TD Bank s transactions through the Asian Financial Crisis. The next institution was Schroders, which was acquired by Salomon Smith Barney as part of Citigroup. Andrew speaks regularly at seminars organised by the Association of Banks in Singapore, the Institute of Banking and Finance, the Wealth Management Institute, where he leads in Ethics and Compliance training for private banking and wealth management, for private banking, the Compliance Professionals Association of Singapore and the Robert Half-ICPAS Financial Leadership. He is also a committee member of the Financial Industry Competency Standards (FICS) Compliance Working Group. Andrew graduated from the National University of Singapore. He is admitted to the Singapore Bar and is also an Attorney-at-Law, New York State Bar. Jeremy Ng Managing Director & Deputy Chief Executive Officer, Asia Leonteq Securities Jeremy Ng is managing director & deputy chief executive officer, Asia at Leonteq Securities, responsible for building Leonteq s distribution business in Asia. He was most recently head of third-party distribution in Hong Kong and Singapore at Goldman Sachs Securities Division, where he worked from 2010 to From 2006 to 2010, he was at Deutsche Bank Global Markets, as director, cross asset structured products sales for in Hong Kong and Singapore. From 2003 to 2006, he worked at Morgan Stanley Private Wealth Management. And from 2000 to 2003, he was with Goldman Sachs Investment Management Division. Steve Knabl Managing Partner Swiss Asia Steve Knabl, Managing Partner of Swiss Asia, is a Swiss national with 15 years of experience in the Wealth Management and Financial Services field at General Management level. Steve has an in-depth knowledge of Wealth Management as well as Brokerage and Trading operations. He is also experienced in project coordination and operational implementation of complex business strategies. His very diverse experience over the years has allowed him to acquire extensive product knowledge in diverse businesses and business processes that enable him to efficiently translate visions into action. Leadership of teams in diverse business lines are also his forte. Steve joined Swiss-Asia in January His responsibilities encompass deal & project negotiation and structuring of Funds and Private Wealth Management deals in Asia, Operations Management, Legal & Compliance, Technology, Finance, HR, Due Diligence processes and Structural Risk Management for the firm as a whole. Steve attended the University of Neuchatel Switzerland, in the Faculte des Sciences Economiques and continued to acquire a Bachelor of Sciences Degree (BSc) in International Hospitality Management at the Ecole Hôtelière de Lausanne Haute Ecole Spécialisée (HES).

11 BUILDING THE SKILLS YOU NEED FOR SUCCESS IN WEALTH MANAGEMENT Kees Stoute Managing Director Before joining in early 2015, Kees Stoute ran Sonam, a private banking training and consultancy firm, since Prior to that, he was the managing director of EFG Bank in South-east Asia. EFG Bank is the Swiss private banking subsidiary of EFG International, which is one of the larger banking groups in Switzerland by Tier-1 capital. Kees has a distinguished career spanning the academic, IT & operations and private banking sectors, and has more than 20 years experience in Asia, most of the time spent in Singapore. As an experienced private banker, Kees served at MeesPierson from 1992 to 1996 as its regional head of IT. In 1996, he was promoted to the position of chief operating officer of Fortis / MeesPierson in Singapore. In this position, he became a member of the regional management team of MeesPierson Private Banking. In April 2000, he moved on to become managing director of the business line private banking and trust in Asia for MeesPierson and in 2002, he was (in addition) promoted to managing director of the legal entity MeesPierson Asia Ltd in Singapore. From mid-2004 to June 2005, he was a member of the Fortis Asia Bank management council. When Fortis acquired the London-headquartered Dryden Wealth Management in 2005, Kees Stoute was appointed global chief executive officer and chairman, with the mandate to integrate this company into Fortis. In 2007, Kees moved to the position of managing director, EFG Bank Singapore, where he remained in charge until April He left EFG Bank to set up and develop Sonam. In 2011 Kees became one of the first in Singapore to be certified by the regulator in Singapore (IBF) as Financial Industry Certified Professional (FICP Role Model 6). In the same year, he was also invited to participate in the Private Banking Industry Group, a consultative forum which was established by the Monetary Authority of Singapore (MAS) to further strengthen the competency and market conduct standards of the private banking industry in Singapore. In 2012, Kees became the inaugural winner of the Recognition of Excellence in Asian Wealth Management Award. Kees is furthermore involved in speaking engagements at the Wealth Management Institute (WMI) in Singapore. Michael Stanhope Founder and Chief Executive Officer SPEAKERS Michael has an extensive background in financial services in Asia, Europe and North America. He has been in Asia-Pacific since 1995 first in Hong Kong for six years, then in Sydney and Singapore, returning to Hong Kong in Before setting up in early 2009, Michael founded Pacific Prospect in 2002 and sold it to global business-to-business publisher Incisive Media in 2006, continuing to serve as Chief Executive Officer until October Prior to Pacific Prospect, Michael worked for nine years in financial markets publishing. He joined Euromoney s in 1993 as the publisher of a quarterly magazine, International Bond Investor. In 1995, Michael joined Thomson Financial Services to conceive and launch Finance Asia magazine. While he was Managing Director of Finance Asia, Michael also launched the Asian Debt Review, Asian Private Capital Magazine and started the Finance Asia Conference Business. In 1997, Michael founded FIA Limited. Born in North Wales, Michael was head boy of St David s College Llandudno. He has a degree in Business Administration from Cardiff University. He now lives in Sai Kung, Hong Kong, and is married with three children - Reanna, Garett and Tarryn. David MacDonald Head of Learning Solutions With a 20-year career in various wealth management roles, and over 10 years as a founding director of Macsimize, a learning & development business, David is an expert in skills and behaviour-related learning & development. Since September 2011, he has been responsible for face-to-face training services.

12 online learning We help practitioners meet their professional education obligations via e-learning, event presentations, video Q&As, books & publications, forums and thought-leadership. 80+ courses E-learning modules offers 80+ proprietary training courses covering core topics relevant to building and improving effective & appropriate advisory skills in an Asian industry context. The syllabus covers major product, skills & compliance topics hours s, video Q&As, books & publications Analyse results Reporting The system allows the recording and reporting of all online and offline internal and third-party training in order to provide a complete training record for each individual. The e-learning platform also offers a dedicated reporting feature enabling HR and / or compliance managers to generate customised data sets to match both internal and regulatory training reporting requirements. augments formal courses with over 200 hours of live-learning content that ranges from expert articles and interviews to engaging presentations from highly acclaimed Wealth Management events. Each training course and many of the additional materials are in modules of 30 and 60 minutes for CPT/CPD and all modules are assessed prior to completion to assist in demonstrating user s learning success for regulatory reporting. Learning modules Our courses are developed to cover the below content topics: REGULATION & COMPLIANCE INVESTMENTS SKILLS FAMILY WEALTH STRATEGY & BUSINESS LIVE-LEARNING hubbis.com

13 Our learning platform HR & compliance Administrators The user Live learning LEARNING PLAN Online Simple access through an internet portal that is available 24 hours a day, 365 days a year. You will have access to 80+ engaging e-learning courses that enable users to conveniently earn CPT / CPD points. Online courses Tracking We give HR & compliance managers the ability to build learning plans, and apply those plans to defined groups, and track and record each individual s learning progress. Tracking Reporting Not all e-learners are at the same stage in their professional development or training lifecycle. The integrated reporting system allows HR & compliance managers to monitor employee progress - highlighting areas of weakness / strength. Reporting Records The e-learning reporting function also allows all offline and 3rd-party training to be uploaded to give a single, consolidated history for each user. It also enables organisations to report this training to the regulator in a fast, accurate and consistent format. Consolidated record Meeting your critical compliance requirements

14 HUBBIS PROJECTS 2016 JANUARY Compliance in Asian Wealth Management Thursday 21st January, Pan Pacific, Singapore Asset Management Yearbook FEBRUARY Middle East Wealth Management Tuesday 16th February, Ritz Carlton, Dubai Asian Wealth Management Tuesday 23rd February, Conrad, Hong Kong MARCH Independent Wealth Management Thursday 10th March, Pan Pacific, Singapore Commodities Tuesday 15th March, Hong Kong Independent Wealth Management in Asia Wealth Management in the Middle East APRIL Indian Family Wealth Wednesday 6th April, Sofitel BKC, Mumbai Income strategies Thursday 14th April, Singapore Real assets Tuesday 26th April, Hong Kong Family Wealth in Asia Digital Wealth - Asia MAY Commodities Tuesday 10th May, Singapore Asian Wealth Management Thursday 12th May, Pan Pacific, Singapore Thailand Wealth Management Thursday 19th May, Conrad Hotel, Bangkok Philippines Wealth Management Thursday 26th May, Shangri-La Hotel, Manila Indian Family Wealth JUNE Structured Products Thursday 2nd June, Pan Pacific, Singapore DPM Tuesday 14th June, Singapore Digital Wealth - Asia Thursday 16th June, Pan Pacific, Singapore Swiss Private Banking & Wealth Management Wealth Management in the Philippines JULY Malaysian Wealth Management Tuesday 12th July, Le Meridien, Kuala Lumpur Wealth Management in Asia Wealth Management in Malaysia Islamic Wealth Management Michael Stanhope I

15 HUBBIS PROJECTS 2016 AUGUST NOVEMBER Indian Wealth Management Thursday 25th August, Sofitel BKC, Mumbai SEPTEMBER Structured Products Thursday 1st September, Conrad Hotel, Hong Kong Income strategies Tuesday 6th September, Hong Kong Vietnam Wealth Management Thursday 8th September, Melia Hotel, Hanoi Wealth THINK Tuesday 20th September, Pan Pacific, Singapore OCTOBER Alternative investments Thursday 13th October, Singapore Indonesian Wealth Management Thursday 20th October, Shangri-La Hotel, Jakarta SWISS-ASIA Wealth Exchange Tuesday 25th October, ConventionPoint, Zurich DPM Wednesday 26th October, Hong Kong Asian Family Wealth Thursday 3rd November, Pan Pacific, Singapore Digital Wealth - Asia Thursday 10th November, Four Seasons Hotel, Hong Kong Taiwan Wealth Management Tuesday 22nd November, Le Meridien, Taipei China Wealth Management Thursday 24th November, Grand Hyatt, Shanghai SWISS-ASIA Wealth Exchange Wealth Planning DECEMBER Real assets Thursday 1st December, Singapore Independent wealth management update Tuesday 6th December, Hong Kong Independent wealth management update Thursday 8th December, Singapore Wealth Management in China Special Report on Insurance in Asia Wealth Management in India Michael Stanhope Founder & Chief Executive Officer T E michael.stanhope@hubbis.com 2

16 THE QUINTESSENCE OF OUR MISSION STATEMENT LET S REDEFINE YOUR INVESTMENT EXPERIENCE Leonteq s explicit goal is to make a difference through particular transparency in investment products and to be the preferred technology and service partner for investment solutions. We count on experienced industry experts with a focus on achieving client s goals and a first class IT infrastructure, setting new standards in stability and flexibility.