WealthBriefingAsia – Hong Kong Awards, 2014

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Sponsors

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Finalists

PRIVATE BANK CATEGORIES

Hong Kong banks only

DOMESTIC CLIENTS TEAM HSBC Private Bank ABN Amro Private Banking INTERNATIONAL CLIENTS TEAM ABN Amro Private Banking HSBC Private Bank Standard Chartered Private Bank HNW TEAM ABN Amro Private Banking Standard Chartered Private Bank BOUTIQUE PRIVATE BANK Bank Julius Baer Coutts Rothschild Bank UHNW TEAM Citi Private Bank HSBC Private Bank

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INVESTMENT MANAGEMENT CATEGORIES

FUND MANAGER Dragon Capital Group Milltrust International

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PRIVATE CLIENT CATEGORIES

EFFECTIVE LEGAL TEAM Baker & McKenzie Herbert Smith Freehills Withers EFFECTIVE TAX/ACCOUNTANCY TEAM Baker & McKenzie Deloitte INSTITUTIONAL TRUST OR FIDUCIARY COMPANY HSBC Private Bank RBC Wealth Management

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WEALTH MANAGEMENT TECHNOLOGY CATEGORIES

FRONT OFFICE SOLUTION AG Delta ABN Amro Private Banking Finantix RISK PROFILING SOLUTION FinaMetrica Milltrust International ONBOARDING Appway Finantix

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OTHER WEALTH MANAGEMENT CATEGORIES

PHILANTHROPY OFFERING Coutts HSBC Private Bank Withers LEADING INDIVIDUAL Pierre Chan - Baker & McKenzie Dr Thomas R Meier - Bank Julius Baer Richard Norridge - Herbert Smith Freehills Erik Wallace - Withers Richard Weisman - Baker & McKenzie RISING STAR Tim Burns - Withers Vivian Tung - Standard Chartered Private Bank WOMEN IN WEALTH MANAGEMENT (INDIVIDUAL CONTRIBUTION) Katie Graves - Withers Stella Kong - Standard Chartered Private Bank Chingyee Yau - HSBC Private Bank WOMEN IN WEALTH MANAGEMENT (COMPANY CONTRIBUTION) Barclays, Wealth and Investment Management Dragon Capital Group RBC Wealth Management OUSTANDING CONTRIBUTION TO WEALTH MANAGEMENT THOUGHT LEADERSHIP Accenture RBC Wealth Management Scorpio Partnership EDITOR’S AWARDS In addition to the above categories, special Editor’s awards will be announced on the night.

Categories

PRIVATE BANK CATEGORIES

Hong Kong banks only

DOMESTIC CLIENTS TEAM Criteria for entry: Teams whose clients are domiciled in the jurisdiction in which the bank itself operates. Focus can be either HNW or UHNW. INTERNATIONAL CLIENTS TEAM Criteria for entry: Teams whose clients are NOT domiciled in the jurisdiction in which the bank itself operates. Focus can be either HNW or UHNW. HNW TEAM Criteria for entry: Teams who look after clients with under USD30 million with the bank. BOUTIQUE PRIVATE BANK Criteria for entry: A stable and independent pure play private bank providing diverse and innovative wealth management services at the core of its business. UHNW TEAM Criteria for entry: Teams who look after clients with over USD30 million with the bank. WEALTH PLANNING TEAM Criteria for entry: Teams who are dedicated to clients' tax, trust and wealth structuring issues.

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PRIVATE BANK CATEGORIES

Other Greater China banks

PRIVATE BANK - CHINA Criteria for entry: Local or international private bank with operations in China. PRIVATE BANK - TAIWAN Criteria for entry: Local or international private bank with operations in Taiwan.

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INVESTMENT MANAGEMENT CATEGORIES

INDEPENDENT WEALTH MANAGER Criteria for entry: This award seeks to recognise independent wealth managers operating in the Asia-Pacific region which have a demonstrably client-focused model and which are innovators in the space. Entrants will be assessed on a broad range of criteria, including: how they segment clients to better service them; how they communicate with clients generally and in time of market stress; how they assess clients' risk-profiles and match them to appropriate investments; how they help with clients' wider life goals, such as leaving a legacy; and how client dissatisfaction is dealt with. FUND MANAGER Criteria for entry: Providers of collective investments for the HNW community.

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MARKETING CATEGORIES

TV CAMPAIGN Criteria for entry: Wealth managers or other private client practitioners who have used TV or video to promote their services to private clients or to raise their profile either within the industry or to clients. ONLINE CAMPAIGN Criteria for entry: Wealth managers or other private client practitioners who have used online channels to promote their services to private clients or to raise their profile either within the industry or to clients. PRINT CAMPAIGN Criteria for entry: Wealth managers or other private client practitioners who have used print media to promote their services to private clients or to raise their profile either within the industry or to clients. BRAND LAUNCH/RELAUNCH Criteria for entry: Most effective and innovative brand launch or relaunch in the private client world, either a whole business unit or a product/service within an existing business.

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PRIVATE CLIENT CATEGORIES

EFFECTIVE LEGAL TEAM Criteria for entry: Law firm team or barrister dedicated to private client issues. EFFECTIVE TAX/ACCOUNTANCY TEAM Criteria for entry: Team in accountancy firm/consultancy specialising in reporting, transacting or wealth structuring for private clients. INSTITUTIONAL TRUST OR FIDUCIARY COMPANY Criteria for entry: Entries only eligible from trust companies that are part of a non-trust parent. INDEPENDENT TRUST OR FIDUCIARY COMPANY Criteria for entry: Entries are only eligible from trust companies independent of larger non-trust businesses.

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WEALTH MANAGEMENT TECHNOLOGY CATEGORIES

FRONT OFFICE SOLUTION Criteria for entry: CRM, client reporting, client risk profiling, portfolio management. TRANSACTION PROCESSING SOLUTION Criteria for entry: Straight through processing, core banking. CHANGE MANAGEMENT PROCESS Criteria for entry: Banks, wealth managers or system integrators who have successfully implemented multi-functional change programmes to significantly improve client experience and performance. PORTFOLIO MANAGEMENT Criteria for entry: Technology solution providers specialising in tools for managing clients' investment portfolios. CLIENT COMMUNICATIONS & REPORTING Criteria for entry: Technology solution providers specialising in tools for wealth managers to communicate with clients. RISK PROFILING SOLUTION Criteria for entry: A technology solution to help wealth managers assess and document the risk appetite of clients. RISK MANAGEMENT Criteria for entry: Technology solution providers specialising in tools for wealth managers to manage risk. CRM SYSTEM Criteria for entry: Client relationship management systems for wealth managers. ONBOARDING Criteria for entry: Technology solutions to help wealth managers bring new clients into their organisation. DATA PROVIDER Criteria for entry: Business providing financial data to private banks and other wealth managers. OUTSOURCING SOLUTION Criteria for entry: Third-party organisations providing business processes or systems to wealth management businesses. GLOBAL CUSTODIAN Criteria for entry: Custodians offering services to private client business. INNOVATIVE CLIENT SOLUTION Criteria for entry: This award seeks to recognise institutions which have developed innovative products and services for their clients as part of a solutionsfocused service model. Entries could focus on a new value-added service designed to help clients with their wider lifestyle goals; a product designed to deliver on the financial objectives of a distinct sub-segment of clients; an educational offering aimed at helping clients become more confident investors; or a cross-divisional referral programme to help business owners with their corporate financial or operational needs. The judges will be looking for a new offering which has been developed to meet a specific client need and which represents a real addition to the institution's value proposition.

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OTHER WEALTH MANAGEMENT CATEGORIES

MULTI-FAMILY OFFICE Criteria for entry: Multi-Family Office business based in Greater China. Can be an international or local player. ISLAMIC FINANCE OFFERING Criteria for entry: Team from within a wealth management or stand-alone business that offers Islamic Finance to clients. Can be a local or international player. PHILANTHROPY OFFERING Criteria for entry: Offerings from private banks or wealth managers which promote and encourage philanthropic activity amongst clients. FX SOLUTION PROVIDER Criteria for entry: Local provider of foreign exchange services to wealth management organisations or clients. ETF PROVIDER Criteria for entry: Fund/asset manager that makes exchange-traded products available for local wealth management clients. LEADING INDIVIDUAL Criteria for entry: Age and experience is no bar but something special should mark out this individual working in the private client world. RISING STAR Criteria for entry: A private banker or wealth manager under the age of 35 who is not yet in a senior management position but shows the potential to be a leading individual. WOMEN IN WEALTH MANAGEMENT (INDIVIDUAL CONTRIBUTION) Criteria for entry: Open to women in private banking or wealth management who are an inspiration both to female clients and colleagues. WOMEN IN WEALTH MANAGEMENT (COMPANY CONTRIBUTION) Criteria for entry: For wealth management organisations which demonstrate support for women in their career development. LIFETIME ACHIEVEMENT Criteria for entry: For individuals who have enhanced the standing of the local wealth management industry. OUSTANDING CONTRIBUTION TO WEALTH MANAGEMENT THOUGHT LEADERSHIP Criteria for entry: Open to individuals or businesses that demonstrate an outstanding contribution to thought leadership in wealth management, as demonstrated by contributions to periodicals and events specialising in wealth management.