FKM63258_-_CMAS_2015_VIP

CMAS 2015 Compliance Monitoring & Assurance Strategy

Registration Hotline: +44 (0)20 7017 7702 Email: [email protected]

For the latest programme or to register visit: www.infoline.org.uk/cmas

Developed by

An Informa Company

Conference:CMAS 2015: Compliance Monitoring and Assurance Strategy22-23 September 2015 - Central London

Post-conference workshop:Conduct Risk KPIs and KRIs24 September 2015 - Central London

Regulatory Guidance and Industry Case Studies in Compliance Monitoring and Quality Assurance in Financial Services

Infoline’s 4th Annual

Simon Cavell Senior Operational Risk &

Assurance ManagerYORKSHIRE BUILDING

SOCIETY

Tony Bronk Compliance Officer &

Deputy MLRO CANACCORD GENUITY WEALTH MANAGEMENT

Lisa Sturley CASS Supervision

ManagerFCA

James Coulson Chief Compliance Officer

UK & EMEA CREDIT SUISSE

Howard Copeland Head of Risk and

Compliance Assurance STANDARD LIFE INVESTMENTS

Matthew Connell Head of Regulatory

Developments ZURICH LIFE

Colin Murphy Compliance Monitoring

Director, Group Regulatory Risk & Compliance

LEGAL & GENERAL

Sponsor:

22-24 September 2015 Central London



CMAS 2015: Compliance Monitoring & Assurance Strategy

Day One 22 September 2015, Central London

8:45 Registration and Refreshments

9:15 Chairman’s Welcome and Start of Conference Day One

9:30 Understanding FCA Expectations: Conduct Risk Management Speaker under invitation

10:10 Panel Discussion: Best Practice Approaches to Conduct Risk M.I. • Identifying and monitoring appropriate conduct risk indicators • Carrying out a review of conduct risks • Monitoring on-going compliance with regulatory expectations PA

NEL SESSION • Monitoring conduct risk through regulatory and organisational change Howard Copeland

Head of Risk and Compliance Assurance STANDARD LIFE INVESTMENTS

Chris Peacock Head of Retail Compliance M&G SECURITIES

Donna Turner Head of MI, Analytics & Issues Management, Compliance Services, Conduct & Regulatory Affairs ROYAL BANK OF SCOTLAND

10:45 Refreshment Break

11:00 Panel Discussion: Effective Strategies to Monitor and Measure Culture Firm-Wide • Understanding conduct and culture – what does good look like? • How to measure and monitor culture • Embedding a good culture – strategy and vision P

ANEL SESSION

• Leading from the top – management involvement in instilling culture Bob Barclay

Risk Manager ABN AMRO

James Coulson Chief Compliance Officer UK & EMEA CREDIT SUISSE

11:40 An Ideal Scenario – Creating a Compliance Monitoring Strategy • Identification of key areas • Internal input • External input • Reporting & resolution • Development David Ogden

Compliance Manager SEVEN INVESTMENT MANAGEMENT

12:20 Lunch

1:20 Panel Discussion: Senior Persons Accountability - Measuring and Monitoring • Monitoring and measuring senior managers’ responsibilities • Monitoring certified persons’ responsibilities and training

PA

NEL SESSION

• Producing effective MI on responsibilities • What governance will look like once implemented • Understanding resources required for monitoring • How to carry out an effective monitoring review Matthew Connell Helen Kenyon

Head of Compliance and Conduct Risk METRO BANK

Head of Regulatory Developments ZURICH LIFE

2:00 Beyond Design: Ensuring Good Governance across the Product Lifecycle • Defining and monitoring product risk throughout design, distribution and delivery • Best practice governance frameworks for product management • Engaging stakeholders throughout the product lifecycle • Continuous improvement and remediation of risks • Management information: tracking and sharing progress

Simon Cavell Senior Operational Risk & Assurance Manager YORKSHIRE BUILDING SOCIETY

More panellists to be confirmed


22-24 September 2015 Central London

CMAS 2015: Compliance Monitoring & Assurance Strategy

2:45 Panel Discussion: Demonstrating Ongoing Compliance in Financial Promotions • Compliance’s role in approving financial promotions • Producing an effective audit trail

PA

NEL SESSION • Providing ongoing assurance of financial promotions • Producing quality MI for promotions Caroline Plane

Sales Distribution Advisor OCTOPUS INVESTMENTS

Rachel Whittle Compliance Manager BNY MELLON INVESTMENT MANAGEMENT

Anthony McCloskey Marketing and Sales Compliance Manager ROYAL LONDON

Nicola Kingston Compliance Manager RUSSELL INVESTMENTS

3:15 Refreshment Break

3:30 Deriving Maximum Value from Automated Compliance Monitoring • Enabling compliance strategies: technology best practises • Policy rule creation • Fine-tuning your policies and review process • Ongoing maintenance best practices • Documenting reviews Ray McGrath

Supervision and Compliance Consultant SMARSH

4:00 Aligning your AML, Financial Crime and Sanctions Risk and Monitoring Functions • Compliance monitoring’s involvement in AML and financial crime compliance

PA

NEL SESSION

• Ensuring compliance monitoring has adequate knowledge of AML and financial crime • Understanding regulatory expectations of monitoring financial crime

Richard Wall Compliance Officer & Deputy MLRO CANACCORD GENUITY WEALTH MANAGEMENT

Rod Morris MLRO NATIONAL BANK OF KUWAIT (INTERNATIONAL)

Tony Bronk

Head of Compliance and MLRO GUARANTY TRUST BANK (UK)

4:30 Panel Discussion: Providing Quality Assurance through Ongoing Monitoring of Complaints • Ongoing monitoring of complaints and identifying trends

• Assessing conduct risk from complaints

PA

NEL SESSION • Ensuring action is taken on complaints • Securing senior management involvement in complaints

5:00 End of Day 1

Day Two 23 September 2015, Central London

8:45 Registrations and Refreshments

9:15 Chairman’s Remarks and Start of Day Two

9:30 Panel Discussion: Monitoring Compliance under the CASS Regime • Designing a CASS compliance monitoring programme • Exploring the relationship between compliance; the Client Asset Oversight Office; and the business

PANEL DISCUSSIO

N

• Meaningful MI for CASS Compliance Moderator:

Fiona King Head of UK&I GTO Regulatory Group & Client Assets Oversight Officer DEUTSCHE BANK

Austin Copp Head of CASS Compliance HSBC

Lisa Sturley CASS Supervision Manager FCA




Ellie Renshaw Director of External Representation BARCLAYS



CMAS 2015: Compliance Monitoring & Assurance Strategy22-24 September 2015

Central London

10:15 Understanding Risk in a Digital Age: Managing and Monitoring Cyber Risk • Current issues and recent developments • UK and overseas regulatory approach • Can we protect ourselves – security and cyber insurance? • The developing regulatory landscape • Future cyber risks

Michael Ruck Senior Associate PINSENT MASONS

11:00 Refreshments

11:15 Panel Discussion: Ensuring Consistency in Compliance Monitoring Across Jurisdictions • Aligning your compliance monitoring programme with international branches • Understanding your international regulator PA

NEL SESSION • Reporting risks in an international business

12:00 Behavioural Economics: Applying and Monitoring • Operationalising lessons from behavioural economics in your firm • Monitoring and providing ongoing assurance with behavioural economics Matthew Connell

Head of Regulatory Developments ZURICH LIFE

12:30 Lunch

1:30 Panel Discussion: Establishing and Maintaining Robust Lines of Defence • Establishing individuals’ compliance responsibilities • Three lines of defence model – is it still effective? • Do staff know when and how to escalate problems? PA

NEL SESSION • Is technical knowledge up to scratch? • Working across the business: how compliance works with other teams Bob Barclay

Risk Manager ABN AMRO

Tony Pooley Risk Director RAPHAELS BANK

Sharon Akumiah Legal and Compliance HANNOVER RE

2:00 Panel Discussion: Outsourcing and Staying Compliant: Effective Monitoring of Third-Parties • Establishing and negotiating terms with outsourcers • What does good governance of outsourcers look like? • Establishing the outsourcers’ compliance responsibilities PA

NEL SESSION • Impact of outsourcing on conduct risk • Producing effective MI on outsourcers Matt Gore

Chief Administration Officer PENSION INSURANCE CORPORATION

Tom Finch Director HEDGESERV

2:45 Refreshments3:00 Identifying and Managing Conflicts of Interests • Identifying conflicts of interest across the firm • Governance of conflicts of interest • Producing effective records and MI • Aligning a conflicts risk assessment Speaker to be confirmed

3:45 Preparing your Compliance Monitoring Strategy for Upcoming Regulation • Areas of focus for the FCA and EU • MiFID II • EMIR • Market abuse

Jonathan Rogers Partner TAYLOR WESSING

4:30 Chairman’s Summation and End of Conference






Colin Murphy Compliance Monitoring Director, Group Regulatory Risk & Compliance LEGAL & GENERAL

Leago Papo Head of HSS Regulatory Compliance Monitoring & Testing HSBC SECURITIES SERVICES


24 September • Central London

Post-conference workshop:

Conduct Risk KRIs and KPIs

CMAS 2015: Compliance Monitoring & Assurance Strategy22-24 September 2015

Central London

Sponsor this conference:There are a limited number of sponsorship and exhibition opportunities available that would enable your company to use CMAS 2015 as a platform to create brand awareness and reach out to potential clients.Infoline Conferences will endeavour to assist your business objectives with opportunities such as:• Brand exposure: Targeted brand awareness and the association of your company with this area of expertise.• Thought leadership: Present your expertise to a targeted group of industry leaders.• Networking: We will provide you with a platform to meet face to face with a room full of potential clients and demonstrate the benefit of

your services.For more information on how Infoline Conferences can help you meet your marketing objectives, call Sophie Serhan on +44 (0)20 7551 9931 or email [email protected]



Post Conference WorkshopImplementing an Effective

CONDUCT RISK ASSESSMENT FRAMEWORK 27 March 2015 • Central London

WORKSHOP INTRODUCTION This one day workshop examines the latest techniques, tools and practical approaches which can be applied to design an effective conduct risk assessment framework. The workshop will guide participants through each stage of establishing processes which not only provide meaningful controls and business assurance but enable the delivery of business objectives and vital growth strategies.

WORKSHOP STYLE & TIMINGThis workshop is designed to be participative throughout. The agenda will combine key formal presentations, case studies and syndicate discussion sessions. There will be ample opportunity for delegates to benchmark experiences with industry peers and raise issues of most concern to their organisation, either confidentially or in open session.

9.00am Registration

9.30am Workshop Starts

4.00pm Workshop Ends

WORKSHOP AGENDA

The Conduct Risk Assessment Process – Getting the Basics Right• Understanding regulatory expectations• Defining conduct risk• Selecting objective tests to identifying the key

risks• Sources of information to help monitor and

manage risks• Ensuring appropriate resources and skills to

provide effective assurance

Conduct Risk Assessment Techniques and Good Practices• Designing a robust rating methodology (inherent

risk, controls, residual risk)• Rules based reviews• Applying audit techniques (review, report,

allocate action points, follow up)• Using compliance risk assessment to prioritise

allocation of resources• Frequency of reviews• Aligning compliance risk assessment

methodology with the activities of other function

Qualitative Aspects of an Effective Conduct Risk Monitoring and Assurance Framework• Senior management engagement• Compliance… risk… audit… who does what• Communicating the message that the business

owns conduct risk• Establishing and embedding a conduct risk

culture• Knowing when to rely upon ‘gut feel’ to identify

key risks

Manual vs. Automated Monitoring• Getting the right balance• Selecting an appropriate approach

Implementation issues• Costs and benefits

Documenting and Demonstrating the Effectiveness of Your Review Work• What should a monitoring plan look like?• Annual review of conduct risk and conduct risk

report

Payment should be made within 14 days of registration. All registrations must be paid in advance of the event. Your VIP code is above.

Conduct Risk KRIs and KPIs (Post-Conference Workshop) 24 September 2015, Central London FKM63258W

CMAS 2015: Compliance Monitoring & Assurance Strategy (Conference) 22-23 September 2015, Central London FKM63258

VIP CODE

Please quote the above VIP code when registering

The VAT rate is subject to change and may differ from the advertised rate. The amount you are charged will be determined when your invoice is raised. Savings include Multiple Booking & Early Booking Discounts. All discounts can only be applied at the time of registration and discounts cannot be combined. All discounts are subject to approval. Please note the conference fee does not include travel or hotel accommodation costs. We are happy to accept a replacement delegate for the whole event, however delegate passes cannot be split or shared between delegates under any circumstances.

PERSONAL DETAILS

TERMS AND CONDITIONSAttendance at this conference is subject to the Infoline Delegate Terms and Conditions at http://infoline.org.uk/page/termsandconditions.Your attention is drawn in particular to clauses 6, 8 and 14 of the Infoline Delegate Terms and Conditions which have been set out below:Cancellation Policy: You may cancel your registration in accordance with this Condition 6. You will receive a refund of your fees paid to Infoline (if any): (i) if you cancel your registration 28 days or more before the Conference, subject to an administration charge equivalent to 10% of the total amount of your fees plus VAT; or (ii) if you cancel your registration less than 28 days, but more than 14 days before the Conference, subject to an administration charge equivalent to 50% of the total amount of your fees plus VAT. Infoline regrets that the full amount of your fee remains payable in the event that your cancellation is 14 days or less before the Conference or if you fail to attend the Conference. All cancellations must be sent by email to [email protected] marked for the attention of Customer Services and must be received by Infoline. You acknowledge that the refund of your fees in accordance with Condition 6 is your sole remedy in respect of any cancellation of your registration by you and all other liability is expressly excluded.Changes to the conference: Infoline may (at its sole discretion) change the format, speakers, participants, content, venue location and programme or any other aspect of the Conference at any time and for any reason, whether or not due to a Force Majeure Event, in each case without liability.Data protection: The personal information which you provide to us will be held by us on a database. You agree that Infoline may share this information with other companies in the Informa group. Occasionally your details may be madeavailable to selected third parties who wish to communicate with you offers related to your business activities. If you do not wish to receive these offers please contact the database manager. For more information about how Infoline use the information you provide please see our privacy policy at: http://infoline.org.uk/page/privacypolicy. If you do not wish your details to be available to companies in the Informa Group, or selected third parties, please contact the Database Manager, Informa UK Ltd, Maple House, 149 Tottenham Court Road, London, W1T 7AD, UK. Tel: +44 (0)20 7017 7077, fax: +44 (0)20 7017 7828 or [email protected] Mailing: If you are receiving multiple mailings or you would like us to change any details, or remove your name from our database, please contact the Database Manager at the above address quoting the reference number printed on the mailing label.By completing and submitting this registration form, you confirm that you have read and understood the Infoline Delegate Terms and Conditions and you agree to be bound by them.

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COMPANY DETAILS

q To make payment by credit card: to ensure we provide the highest level of security for your credit card details we are unable to accept such payments via email or fax which ensures that these details are never stored on our network. To make payment by credit card on-line, please enter your credit card details in our secure payments website that you will use when making your booking via the event website (the event web address is near the top of the booking form). Alternatively call our customer service team on +44 (0) 20 7017 7702.

q By Bank transfer: Full details of bank transfer options will be given with your invoice on registration.In all cases payment prior to the conference is required. Registration fees include all sessions, refreshments and course documentation. Please note: where an option exists for delegates to attend a morning or afternoon session or both sessions, lunch will be provided for those opting to attend both. May we remind overseas delegates that VAT must be paid.Confirmation: You will receive confirmation and joining instructions from us within two weeks of registering. If this is not the case, please telephone us to ensure we have received your booking.Please note that credit cards will be debited within 7 days of your registration on to the conference.

Unable to attend? If your schedule does not permit your attendance at this event, copies of the event documentation are available for purchase from just £199 (+VAT @ 20%). Your documentation will be forwarded one week after the event.

CMAS 2015: Compliance Monitoring & Assurance Strategy £299 (+VAT @ 20%) Conduct Risk KRIs and KPIs £199 (+VAT @ 20%)

We regret Documentation Orders can only be processed on receipt of Credit Card details.

Event location: This event will be held at a conveniently located and quality venue in the centre of the city advertised. Delegates will be informed of the venue by email not less than three weeks before the event.

FOUR EASY WAYS TO REGISTER

Telephone: +44 (0) 20 7017 7702 Please remember to quote your VIP code

Fax: Complete and send this registration form to: +44 (0) 20 7017 7881

Email: [email protected]

Web: www.infoline.org.uk/cmas

Delegates are responsible for the arrangement and payment of their own travel and accommodation. Once the venue is confirmed, a link with special rates for hotels nearby will be sent to you. Further details can be found on the dates/venue page of the conference website: www.infoline.org.uk/cmas

HOW MUCH?

Please select your package Register by 3 July 2015 Register by 21 August 2015 Register after 21 August 2015

Conference and Workshop £1898 + VAT @ 20% = £2277.60 Save £600

£2098 + VAT @ 20% = £2517.60 Save £400

£2298 + VAT @ 20% = ££2757.60 Save £200

Conference Only £1299 + VAT @ 20% = £1558.80 Save £200

£1399 + VAT @ 20% = £1678.80 Save £100

£1499 + VAT @ 20% = £1798.80

Workshop Only £799 + VAT @ 20% = £958.80Save £200

£899 + VAT @ 20% = £1078.80 Save £100

£999 + VAT @ 20% = £1198.80

Additional £100 saving for 2nd & subsequent delegates in group bookings

£100 Discount

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Documents

FKM63258_-_CMAS_2015_VIP