compliance culture ERM

Due to the changing regulatory landscape and higher scrutiny from APRA, ASIC and the Royal Commission, now is more important than ever for organisations to firm up their compliance culture and conduct risk frameworks.

29th May, 2019- Wednesday - Day 2

Participants registration and refreshments.

Leah Lovrek Director, Hall Advisory

  • An overview of the formation of AFCA from the 3 different EDR Schemes
  • How things are progressing as a single external dispute resolution service for financial services in Australia
  • AFCA areas of focus and how they will interact with the industry

Speaker:

  • John Price, Lead Ombudsman, Australian Financial Complaints Authority

Speaker:

  • Alison Telfer, Managing Director, General Counsel & Head of Compliance Australia, BlackRock

Refreshments and Networking opportunity for participants.

  • Creating an environment that is safe where staff want to speak up
  • Ensuring staff are protected when speaking up
  • Best practice to encourage staff to report non-compliance
  • Implementing internal reporting channels in the most effective and productive way

Moderator:

  • Natasha Hall Managing Director, Hall Advisory Services Pty. Ltd

Panellists:

  • Catherine Maxwell,FGIA, General Manager, Policy & Advocacy, Governance Institute of Australia Ltd

Regulatory Technology, also called RegTech, or compliance tech, enables greater efficiency and effectiveness of risk management, compliance monitoring and oversight, supporting compliance teams in scaling their efforts and helping to focus on critical risks requiring higher order assessment. Samantha is the 2019 Compliance Innovator of the Year, awarded by FinTech Business, and the 2018 Women in Financial Services Innovator of the Year awarded by Money Management. She is a foundation member and Advisory Committee member of the RegTech Assocation, as well as a global keynote speaker and expert on RegTech. She was invited to speak the FinTech Taipei’s inaugural conference; to present at ASIC’s inaugural RegTech showcase; and has been invited by the NSW Premier to co-chair the Financial Services & Technology stream of the NSW / Chinese Guandong 40 year anniversary delegation later this year. Having just returned from a study tour to Silicon Valley on AI, Samantha will share her insights on:

  • how Australia is positioned in RegTech, machine learning and ethical AI
  • how compliance teams can scale their efforts leveraging the power of machine-rule enabled RegTech
  • a case study / demo on Advice RegTech to bring to life how compliance teams reviewing financial advice files can scale and improve their efficiency and effectiveness.

Speaker:

  • Samantha Clarke, CEO and Co-Founder, Advice RegTech

Culture measures often enable leaders to understand the root cause of ineffective controls in their business. By measuring culture drivers in conjunction with the effectiveness of the control environment, management is able to:

  • Proactively manage risk rather than “tick the box”;
  • Understand cultural drivers that could impact strategic success and address these; and
  • Direct effort and investment on aspects of the business that “really matter” to create a competitive advantage
  • Deeply understand the motivations of people and provide unique insights into not just the WHAT people do but WHY they do it

Speaker:

  • Gavin Freeman, Director, Business Olympian

Lunch and Networking opportunity for participants.

This presentation will discuss the extent to which “corporate culture” can be influenced and reformed by the enforcement actions commenced by Australia’s corporate regulators (i.e., ASIC, APRA, ATO, AUSTRAC, etc). The presentation will focus on recent enforcement actions brought against Australia’s banks and financial services providers. The seminar will address:

  • Different approaches to deterrence; and
  • Which of the enforcement tools available are most
    effective at influencing corporate culture (considering
    specifically: enforceable undertakings, civil penalties and
    criminal sanctions).

Speaker:

  • Professor Michael Legg, UNSW Law
  • Stephen Speirs, Associate, Jones Day
  • Identifying the skillsets that risk and compliance will need
    in the future
  • How effective are the legal risk and compliance functions in
    organisations – do they need more seniority and
    empowerment?
  • Discussing the changing role of legal risk and compliance
    and how they can be more effective in minimising risk
  • AI and Machine Learning – what does this mean for people
    in risk and compliance
  • Should the roles be separate, or combined? How can they
    work better together?
    Panel Chair

  • Lauren Ryder, CEO, Leading Edge Global
    Panellis ts

  • Anatoly Kirievsky,Chief Compliance Officer, Optiver Asia Pacific
  • Elizabeth Jacka, Group Compliance Manager, Lendlease Corporation
  • Grant MacKinnon MAICD Managing Director, GRM & Associates Pty Limited

Refreshments and Networking opportunity for participants.

The shareholder primacy view holds that the overriding goal of the corporation is to maximise shareholder value. At its most extreme, this perspective suggests that directors will tend to favour the short-term financial interests of shareholders (shareholder value), being driven in that direction by capital markets fixed on share price and short-term returns.

  • How profit-maximising behaviour should secure an
    alignment of the interests of shareholders and legitimate
    stakeholders such as customers, employees, suppliers and
    the community in which the entity operates.
  • Leading long-term growth of the enterprise and long-term
    sustainable shareholder return through responsible conduct
  • Improving the quality of corporate decision-making while
    assisting in aligning corporate behaviour with changing
    community expectations

Speaker:

  • Judith Fox, CEO, Australian Shareholders Association
  • Understanding what drives ethical behaviour and the
    importance of the environment around decision making
  • Embedding an ethical culture throughout the organisation
  • Setting the tone from the top to embed values and
    principles
  • Corporate ethics – what we should and shouldn’t do

Panel Chair:

  • Tammie Christie, Head of Risk Assurance and Prudential Governance Regulatory, Governance & Assurance, Group Risk, Westpac

Panel Members:

  • Cris Parker, Head of The Ethics Alliance – The Ethics Centre,
    Director – The Banking and Finance Oath
  • Other panel member TBA

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.

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