Jun 18, 2018 - Jun 19, 2018 Grace Hotel Sydney, 77 York street, Sydney, NSW Australia

The Compliance, Culture & Conduct Risk in Financial Services Forum will feature presentations on how to improve conduct and restore trust.

19th June 2018 - Day 2

Participants registration and refreshments.

Chairman’s address to the gathering.

  • New experimental study examining the behaviour of financial services executives.
  • Can culture overcome the adverse impact of profit-focused incentives?
  • Latest experimental research findings and their practical implications.


  • Elizabeth Sheedy, Ph.D., Associate Professor Macquarie University Applied Finance Centre
  • What’s the consequences of not listening in financial services?
  • How to effectively explore what’s NOT being said
  • Creating a culture of listening externally and internally


  • Oscar Trimboli, Author of Breakthroughs & Deep Listening

Highlighting the best practice techniques to manage your risk program


  • Brooke Benson, Head of Financial Services, CompliSpace
  • James Cozens, Director, Commercial, CommpliSpace

Refreshments and Networking opportunity for participants.

This session explains how the risks and costs of data can be minimised through an effective Information governance to:

  • Reduce business interruption costs and legal costs in the event of a data breach;
  • Reduce the amount of useless data held through defensible disposition of records;
  • Reduce costs of eDiscovery – document production in litigation and Inquiries;
  • Increase privacy compliance;
  • Embed a cybersecurity and privacy culture

You will increase your knowledge about:

  • The benefits of Information Governance
  • What is involved in developing and implementing a Information Governance
  • Why Information Governance needs to be led from the top-down
  • Tips for a successful Information Governance program



  • Susan Bennett, Principal, Sibenco Legal & Advisory

Understand what true customer-centric leadership looks like

  • Where will the industry be in 5 years’ time on changing culture to put customers at the heart of the business
  • Where has the effort been on behavioural change and where do the challenges still lie?
  • How the growing international presence of Australian financial service firms have made fraud exposure a major risk
  • Understanding fraud and corruption risks posed by emerging / frontier markets
  • See first hand how a forensic audit only reveals a small part of the overall ‘reality’
  • What to consider when undertaking a forensic audit in an emerging market


  • Jeremy Sandbrook, Chief Executive Officer, Integritas360

Lunch and Networking opportunity for participants.

What are ASIC’s proposed product suitability and intervention powers and impact on product development and conduct risk.

  • Background on ASIC’s new UK based enforcement wish list
  • Role of behavioural economics and conduct risk in product development and distribution
  • How the Introduction of product suitability requirements is to be a complement to the current disclosure regime
  • What it might look like and steps to get ready


  • Ray Giblett, Partner, Norton Rose Fulbright Australia

Whistle blowers in financial services and the risk to reputation and what can be done to protect the organisation.

  • How the organisation responds to a whistleblower can help determine whether the problem exposed becomes a reputational crisis
  • Outcomes in terms of investor disquiet and unwanted reputational damage
  • Opportunities for effective issue management and crisis prevention revolve around identifying problems early and taking steps to address them
  • Insights from case studies


  • Terri Clementson, Principal, Fincrime Australia

Refreshments and Networking opportunity for participants.

Apart from operational, investment, or political risk, there is reputational risk which often takes a back seat but can lead to substantial loss of revenue, share price decline and loss of employees and customers

  • See the impact of reputation risk
  • How to identify potential risks to reputation such as fraud or improper
  • Business practices
  • How to improve policies, procedures and checks
  • Working with marketing, PR and communication teams
  • Case studies on issue and crisis management
  • Can you rebuild reputation?


  • Barbara Pesel, Managing Director, Pesel & Carr
  • How we are collaborating and engaging with RegTechs
  • What is driving innovation in RegTech?
  • What’s hot right now and where is RegTech going?
  • Examples of best-practice
  • What are the implementation insights
  • Regulatory Change management


  • Nick Stavrou, PhD, MAppFin, Risk Framework Manager
  • Sophie Higgins, Assistant Director, Australian Information Commissioner’s (OAIC), Regulation and Strategy Branch
  • Closing remarks from the Chair and vote of thanks by the Chairman

Interested in speaking?


We are on the look out for insightful and unique speakers. Click here to send us your details - be sure to include your areas of interest.

Upcoming Events

  1. Future Social Media Strategy 2018 Forum

    May 31 @ 8:00 am - June 1 @ 5:00 pm
  2. Data Governance 2018

    June 12 @ 8:00 am - June 13 @ 5:00 pm
  3. Compliance Culture & Conduct Risk in Financial Services Forum 2018

    June 18 @ 8:00 am - June 19 @ 5:00 pm
  4. Fund Tech 2018

    July 25 @ 8:00 am - July 26 @ 5:00 pm
  5. Superannuation Funds Tax 2018 Forum

    August 20 @ 8:00 am - August 21 @ 5:00 pm

About Us


IBR conferences specialises in the fields of Mining, Water, Energy, Finance, Marketing, Environment, Public Sectors and Sustainability. IBR Conferences Pty Ltd is a leading edge Australian company that provides corporate executives with tailored practical conferences keeping them up-to-date with latest business trends with in different industry sectors.



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