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.

  • 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


  • John Price, Lead Ombudsman, Australian Financial Complaints Authority


  • 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


  • Leah Lovrek, Director, Hall Advisory


  •  Meegan George, Acting Chief Executive, The Governance Institute of Australia
  • How culture is led from the top which has seen an adjustment within all levels
  • Management through change – how NDIA has managed culture as well as structural change
  • An overview of the cultural change journey and how this has impacted the business


  • Paul Bonello, Director, Enterprise Risk Management, National
    Disability Insurance Agency

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


  • 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

  • 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).


  • 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
  • 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?

Panellis ts

  • Anatoly Kirievsky,Chief Compliance Officer, Optiver Asia Pacific
  • Tony Woods,Chief Risk Officer, MaxCap Group Pty. Ltd
  • Elizabeth Jacka, Group Compliance Manager, Lendlease Corporation

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


  • 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
  • Corporate ethics – what we should and shouldn’t do


  • Tammie Christie, Head of Prudential Governance and Digitisation,
Interested in speaking?

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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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