COMPLIANCE SERIES: Gary TIU – From Shrinkwrap to FinApp: Dissecting the bundling in FinTech (15 March 2017)

Compliance in the Financial Services Industry
~ a series of public lectures ~

In response to the rapid development of what the compliance task involves, a series of public lectures giving a 360-degree perspective on the major considerations, tools, strategies, operational matters and challenges relevant to the compliance task. Jointly hosted by
HKU’s Asian Institute of International Financial Law & the Hong Kong Securities and Investment Institute

Sixth Lecture
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From Shrinkwrap to FinApp:
Dissecting the bundling in FinTech

Gary TIU
Legal counsel for a family office
and former general counsel of Yunfeng Financial Group

Wednesday, 15 March 2017, 12:30 – 1:30 pm
5/F, Wing On Centre, 111 Connaught Road Central
HKSI Institute

Synopsis We trust mobile technologies to receive, store and share unprecedented amounts of real-time and personal information in return for bundled goods and services from countless tech operators. We trust financial institutions to handle more money, across more borders, via more middlemen than ever before. Under the hood, countless lawyers and compliance officers in FinTech firms analyse and unbundle services into electronic contracts, ensure compliance and trouble-shoot, and, then, act as product designers and process gatekeepers for both the ‘Fin’ and the ‘Tech’. We go under the hood in this session.

Speaker Bio Gary Tiu has spent more than 15 years as corporate counsel in financial institutions and private practice in Asia. He was, most recently, general counsel of Yunfeng Financial Group (376.HK), and, previously, Head of Asia Legal and Compliance for Cantor Fitzgerald and BGC Partners, and legal counsel for Macquarie Securities Group and CITIC Capital.

Upcoming Lectures

Seventh Lecture ~ 05 April: Stuart Somer, Complyport,
On Outsourcing Compliance Services
Eighth Lecture ~ 19 April: Meena Datwani, HKMA,
On Risk-based Compliance

This project is supported by the RGC Theme-based Research Scheme Project: “Enhancing Hong Kong’s Future as a Leading International Financial Centre”