PWMA Portfolio-based Suitability Assessment – Forum Discussion on 11 September 2019

On 11 September 2019, PWMA organized a Forum Discussion on Portfolio-based Suitability Assessment and invited member firms who have adopted this approach to discuss and share its benefits, implementation challenges, and best practice with other members.  It was an interactive discussion among the moderator, panelists, and around 80 participants in the audience.   

We would like to thank the panelists, Florence Cheung, Head of Business Compliance and Operation Risks, Bank of China; Elaine Ip, Head of Asia Pacific Ex-Japan Private Wealth Management Compliance, Goldman Sachs; Joey Yang, Regional Head of Product Advisory Compliance, Wealth Management, JP Morgan Chase; Peter Stein, Managing Director, PWMA;  Hui-Jin Teh, Head IPS APAC GPE Investment Methodology, UBS, and the moderator Anita Wong, Executive Director, CT Risk Solutions Limited for joining the discussion.  Our thanks also go to Deutsche Bank for hosting the session at their auditorium.