Regional Conference on Investor Protection in Capital Markets (28-29 October 2013, Mumbai)

Venue: Conference Venue: Taj Mahal Palace and Tower, Apollo Bunder, Mumbai - 400 001, Maharashtra, India

  Sunday, 27 October  
19:00    Welcome Dinner for Speakers and Panelists
(Welcome Remarks from German Consul General Mr. Michael Siebert)

Location: Residence of the Consul General


  Monday, 27 October  
08:00 - 09:00
Registration and coffee

09:00 - 09:20 Inaugural Address:

Mr. U.K. Sinha, Chairman, Securities Exchange Board of India (SEBI)
09:20 - 09:40 Key Note Speech:

Mr. Karl-Burkhard Caspari, Chief Executive Director Securities Supervision, German Federal Financial Supervisory Authority (BaFin)

09:40 - 10:00

Mr. Stefan Helming, Country Director India, Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ)


Mr. Thorsten Giehler, Project Director Emerging Markets Dialogue Asia, GIZ

Master of Ceremony: Mr. Pallab Bose

10:00 - 10:30 Tea Break
  Moderator Session 2: Ms. Menaka Doshi (Corporate Editor CNBC TV 18)
10:30 - 11:00 New Trends in Capital Market Regulation
    • Challenges of national and cross-border investor protection in Europe and Asia

Speaker 1: Mr. Tajinder Singh Deputy Secretary General, International Organization of Securities Commissions (IOSCO)
Speaker 2: Ms. Nicoletta Giusto (International Relations Officer Director CONSOB)
not present at the conference -Dr. Zhao Min Vice Director General China Securities Regulatory Commission (CSRC)

11:00 - 11:30 Panel Discussion:

Mr.Amarjeet Singh (Chief General Manager SEBI), Mr. Karl-Burkhard Caspari (Chief Executive Director BaFin), Mr. Tajinder Singh (Deputy Secretary General IOSCO), Ms. Nicoletta Giusto (International Relations Officer Director CONSOB)

11:30 - 11:45 Q & A
11:45 - 12:30 Investor Education
    • Financial literacy- Assessment methods and evaluation, customer empowerment
    • Country perspective best practice

Speaker 1: Mr. Ashish Kumar Chauhan (MD and CEO Bombay Stock Exchange -BSE) and Mr. Ambarish Dutta (CEO BSE Institute Limited)
Speaker 2: Dr. Kusumaningtuti S. Soetiono, Commissioner in charge of Financial Education and Consumer Protection, Indonesia Financial Services Authority (OJK)

12:30 - 12:45 Q & A
12:45 - 14:00 Lunch Break
  Moderator Session 4: Mr. Ranjeet S Mudholkar (Vice Chairman and CEO Financial Planning Standards Board India- FPSB)
14:00 - 14:45 Disclosure and Transparency and other Regulatory Measures to Prevent Mis-selling of Financial Products
    • How to improve the regime for information disclosure and transparency
    • Reducing mis -selling of financial products

Speaker 1: Mr. Moritz Beker, Senior Policy Officer, Section INT 4 International Policy/Affairs Securities Supervison (BaFin)
Speaker 2: Mr. Stephen Po, Senior Director, Intermediaries Supervision Department, Securities and Futures Commission (SFC) Hong Kong

14:45 - 15:15 Panel Discussion:

Mr. Moritz Beker (BaFin), Mr. Ranjeet S Mudholkar (FPSB India), Mr. Stephen Po-(SFC Hong Kong), Mr. Yasuto Watanabe (Director International Financial Markets Financial Services Agency Japan), Ms. Nicoletta Giusto (International Relations Officer Director CONSOB)

15:15 - 15:30 Q & A
15:30 - 16:00 Tea break
  Moderator Session 5: Mr. Robert Elsen, Financial Counselor, German Embassy Beijing
16:00 - 16:30 Dispute Resolution Regime & Mediation and Arbitration
    • Dispute resolution: Examples from Asia and Germany
    • Complaint management: Customer Care and Ombudsman

Speaker 1: Prof. Dr. Günter Hirsch, former president of the Federal Supreme Court of Germany and Mr. Robert Elsen: Financial Services, the Ombudsman in Germany
Speaker 2: Ms.Zia Mody, Founder and Senior Partner of AZB& Partners

Not Present at the conference- Mr. GE Weiping Vice Chairman Securities Association of China (SAC)

16:30 - 17:00 Panel Discussion:

Ms. Zia Mody, Prof.Dr. Günter Hirsch, Mr. Robert Elsen, Mr. P. K. Bindlish (Chief General Manager, SEBI), Ms. Wang Liyuan (Junior Technical Advisor GIZ China)

17:00 - 17:15 Q & A
17:15 - 17:30 Day 1 Wrap Up: Mr. Wolfgang Buecker
19:00 Dinner


  Tuesday, 27 October  
  Moderator Session 6: Mr. Thorsten Giehler Programme Director Financial Sector Reform China
09:00 - 09:45 Investor Compensation Funds
    • Experiences in the formation and development of Investor Compensation Funds
    • Challenges of Cross Border Compensation

Speaker 1: Mr. Thorsten Giehler on behalf of Mr. Dirk Cupei

Not Present at the Conference - Mr. Dirk Cupei, Managing Director Financial Market Stability, Deposit Protection- German Banking Association and Vice Chairman - European Forum of Deposit Insurers (EFDI) : Investor Compensation in Europe- Current trends in EU legislation.
Speaker 2: Mr. R.Sundararama, Chief Business Excellence and New products at National Stock Exchange of India (NSE)

not present at the Conference - Mr. Huang Zibo, Director Legal Affiars Department-The Securities Investor Compensation Fund in China (SIPF China)

09:45 - 10:15 Panel:

Mr. R. Sundararaman (NSE), Mr. Hoang Hai, (Vice General Director of Issuing Department of Securities State Commission Vietnam), Mr. Somasekhar Sundaresan (Partner, J. Sagar Associates), Mr. Thorsten Giehler (GIZ)

10:15 - 10:30 Q & A
10:30 - 11:00 Tea Break
  Moderator Session 7: Mr. Michael Heinrich Zollweg, Head of Trading Surveillance Deutsche Boerse AG
11:00 - 11:30 Stock Exchange Surveillance
    • Role of the Trading Surveillance for Capital market regulation
    • Trends and challenges from Asia and Germany (Europe)
    • Cross border Information Sharing
    • Market Manipulation

Speaker 1: Mr. Akiyoshi Maruyama Director of Market Oversight Intelligence, Market Surveillance Division Securities and Exchange Surveillance Commission-Financial Services Agency Japan
Speaker 2: Mr. Michael Heinrich Zollweg, Head of Trading Surveillance and Mr. Carl-Frederik Bernhard Scharffenorth, Senior Trading Surveillance Analyst - Deutsche Börse AG


11:30 - 12:00 Panel:

Mr. Michael Heinrich Zollweg (Deutsche Börse AG), Mr. Akiyoshi Maruyama (Financial Services Agency Japan), Dr. V. R. Narasimhan, (Chief - Regulations, National Stock Exchange of India Ltd), Mr. Carl-Frederik Scharffenorth (Deutsche Börse AG))

12:00 - 12:15 Q & A
12:15 - 12:45 Closing Session: Mr. Karl-Burkhard Caspari (Chief Executive Director and Member of the Board-BaFin), Mr. R K Padmanabhan (Executive Director SEBI), Mr. Thorsten Giehler (Project Director Emerging Markets Dialogue Asia- GIZ)
12:45 Lunch