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.

30th May, 2019- Thursday- Day 3


1. Case studies – what can we learn

2. How to ‘measure’ culture



Natasha Hall, Managing Director, Hall Advisory

Leah Lovrek, Director, Hall Advisory

What the workshop will cover:

  • An overview of a selection of case studies across banking, insurance, superannuation and financial advice
  • Workshop activities on the associated outcomes and learnings from each
  • Group discussion on the future of financial services in the post Royal Commission environment
  • Overview of various approaches to risk culture and conduct risk diagnostics
  • Worked example of application of Hall Advisory approach

Overview of a selection of case studies across banking, insurance, superannuation and financial advice from the Royal Commission

Case studies will focus on:

  • Failure to fulfil director / trustee duties
  • Compliance mindset
  • Organisational culture
  • Balance of shareholder / customer drivers
  • Remuneration and incentives
  • Lack of due process / documentation / disclosure
  • Misleading and deceptive conduct
  • Flaws in product design and distribution
  • Fraudulent activities

Group discussion on the future of financial services in the post Royal Commission environment

  • What will change? What will stay the same?
  • How much will customers benefit?
  • Could there be another Royal Commission into financial services? What would it investigate?

Worked example of application of Hall Advisory Risk Culture Diagnostics approach What can you learn by attending the workshop? (Why should you attend?)

  • Deeper understanding of root causes of the failings of other organisations (without going through their full pain/cost/distraction)
  • The dangers of complacency and thinking ‘this could not happen to us’
  • Ways in which director / trustee duties can be better discharged
  • Managing the audit trail on management and board level deliberations
  • The benefits of developing a positive compliance mindset
  • Strategies for managing regulatory relationships
  • Ways to improve remuneration and incentive structures to deliver desired outcomes
  • Experiences and insights across industries and financial institutions
  • Why culture matters for all organisations
  • Better practices in measuring and assessing culture
  • Actionable insights to implement in 2019 (and beyond)



Who should attend?

 Which organisations?

  • Retail banks
  • Mutual banks
  • Credit unions
  • Super funds
  • Life insurers
  • Friendly societies
  • General insurers
  • Private health insurers
  • Wealth managers
  • Financial advisors

Which personnel?

  • Chief Executive Officers
  • Chief Risk Officers
  • Chief Compliance Officers
  • Head of Risk
  • Head of Compliance
  • Risk Managers
  • Compliance Managers
  • Culture Specialists
  • Conduct Risk Specialists
  • Head of Regulatory Affairs


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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