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Regulation and Compliance [Registration for Members and Level III Candidates] Event Code: 170331H-M
Date 31-Mar-2017
Time 7:00 p.m. - 8:30 p.m.
Venue HKSFA Office, 14/F BOC Group Life Assurance Tower, 136 Des Voeux Central, Hong Kong.
Speaker(s) Ms. Marguerite Yates and Ms. Deborah Pettiford
Fee HKSFA Member(s) at HK$0.0/person
CFA Candidate(s) at HK$0.0/person
This seminar is qualified for 0 CPT hour(s), 0 CE hour(s), 0 RBV CPD hour(s)
Remarks -  This is the registratoin page for HKSFA members and CFA Level III Candidates (2017) only.
-  Free for HKSFA Members and CFA Level III Candidates (2017) only.  To sign up via the online registration system, please select "Cheque" as the "Payment Method".
-  CFA Candidate(s) for Year 2017 only.
-  Snacks and soft drinks will be provided.

This themed happy hour is not qualified for any CPT hour.


Event Details HKSFA is pleased to have invited Ms. Marguerite Yates, Director for Regulatory Change, Compliance, GB&M, HSBC, to share her experience with our audience on the following topics :
  • International standards, extra-territoriality and conflict in regulations
  • Regulator expectations
  • The cost of compliance

About the speaker


Ms. Marguerite Yates


Marguerite Yates is a specialist in financial regulation and compliance with over 30 years of banking and financial markets experience in New York, Europe and Asia. Her track record as a financial services professional spans both public service and the private sector in commercial banking and trade finance, retail and private banking, capital markets, fund management, corporate governance and the prevention of money laundering and financial crime.

She is Director for Regulatory Change Compliance within the Global Markets and Banking Division of the Hongkong Shanghai Banking Corporation Ltd. She also serves as a technical expert for the IMF and other multilateral non-government institutions.

Previously as a member of the management committee of the AMF, France’s securities commission (equivalent to Hong Kong’s SFC), she was in charge of supervisions and examinations of licensed activities in France. Her career in Compliance began at Paribas where she was Group Chief Compliance Officer. She started her career with JP Morgan Chase (then Chase Manhattan Bank) and was Director of Risk, Audit and Compliance for AXA Investment Managers.


She has a BA from Yale University, a MBA from NYU’s Stern School of Management and a graduate diploma in English law from BPP Law School.


We are also very pleased to have invited Ms. Deborah Pettiford, Professor of BPP University to share about options of further study in law and routes to become a lawyer in Hong Kong and the UK.  Ms. Deborah Pettiford was awarded the Bolton Incorporated Law Society 'Trainee of the Year' in 2009 and qualified as a solicitor in 2010 and become a duty solicitor within two months.


Ms. Deborah Pettiford


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