Forum
7 TH ANNUAL BFSI-ERM 2023Conduct Risk, Compliance & Culture For Financial Services 2023 Forum
8th – 9th November 2023, Novotel Central Sydney
Days
Hours
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Topic covered:
  • Greenwashing to Remain a Priority for ASIC
  • Build Competitive, Compliant & Sustainable Frameworks For ESG
  • Preparedness for Climate-Risk, Conduct and Culture
  • Reflections of a CRO – Where are we now?
  • Managing conduct risks in a compliant manner
  • Investing in training as part of your firm’s conduct risk management strategy
  • Governance, Risk, and Information Security Compliance
  • Drive Compliance Across All Aspects of The Customer Journey
  • Emerging risks: Discussing new areas of conduct risk that are becoming more relevant such as cyber security, digital fraud, and AI.
  • Ensuring Business Continuity in The Face of Technology Disruption
  • Data privacy & info security
  • Moving from a Compliance to a Learning Culture
  • Integrating Risk Frameworks Into Everything You Do
  • Managing the Risk Culture and Assessing How to Restore Trust and Confidence
  • Risk Management’s Role in Training and Education
  • Remaining Vigilant – Ongoing Regulatory Response to Medibank
  • Update for APRA-regulated entities following major cyber-attack on Medibank data breach
  • The Impacts of Technology on BFSI Whilst Maintaining and Strengthening Operational Capabilities
  • How to reduce risks around AI, machine learning and cloud tech implementation and effectively balance organisational support with regulatory compliance?
  • Ensuring Resilience in the Face of Advanced Cyber Threats
  • Stringent & Effective Risk Management Practices Around Third-Party Risks
ESG and Sustainable Finance
Regulatory Technology and Tools
Risk Culture and Conduct
Cyber and Operational Resilience
Themes for 2023 Forum:
  • CONDUCT RISK: Managing conduct risks in a compliant manner
  • RISK CULTURE: Moving from a Compliance to a Learning Culture
  • TECHNOLOGY ADOPTION: Discussing new areas of conduct risk that are becoming more relevant such as cyber security, digital fraud, and AI
  • DATA PRIVACY AND INFO SECURITY: Governance, Risk, and Information Security Compliance
  • ESG: Assessing how evolving regulations can be navigated to ensure business compliance?
  • REGULATORY INSIGHT: Remaining Vigilant – Ongoing Regulatory Response
  • CYBER RESILIENCE: Ensuring Resilience in the Face of Advanced Cyber Threats

Conduct Risk 2023 Forum offers sponsors an excellent opportunity to demonstrate thought-leadership and leverage networking opportunities to build brand-value amongst senior risk professionals. If you would like to know more about sponsorship, exhibition and business development opportunities please just get in touch with us-

7th Annual BFSI-ERM 2023 Speakers
Learn speakers of the 7th Annual BFSI-ERM 2023 - Conduct Risk, Compliance & Culture 2023 Forum.
Head of Change and Commercialisation, ANZ
Chief Risk Officer, MyState Limited
Non Executive Director, The RegTech Association
Head of Compliance Advisory, Equifax
Chief Risk Officer, Brighter Super
Director, Minter Ellison Consulting
Director, MinterEllison Consulting
Applied Psychology, University of Newcastle
Independent risk and compliance consultant
Director, Financial Service Risk Management Consulting, Ernst and Young
Associate Professor at UNSW
Chief Compliance Officer Webull Australia
Independent Consultant & Advisor
Director, Bryan Whitefield Consulting
Strategic Advisor, KPMG Australia
Head of Culture, Experience & Insights, Bendigo and Adelaide Bank
Director, Operational Risk, Battleground Group Pty Ltd
Director - Governance, Regulation & Conduct Advisory, at Deloitte Australia
Consultant, Crypto Law, Creo Legal
Founder & CEO, Swarm Dynamics
Director at Adaptive Cultures
Associate Director – Risk and Compliance, Protiviti Australia
Director, Deloitte
Associate Director – Legal, Risk and Compliance, Kaizen Recruitment
Managing Director, Accurate Background - Australia
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7th Annual BFSI-ERM 2023 Schedule
Learn schedule, program and topics of the 7th Annual BFSI-ERM 2023 - Conduct Risk, Compliance & Culture 2023 Forum

09:00 Opening remarks from Chair

• What are the wide range of demands in 2023 and emerging risks?
• What is your current biggest challenge?
• Strategic prioritization for EOFY 24, what does it mean for you?
• Discussing operational resilience and the need for increased
preparedness for faster-moving and more idiosyncratic
disruptions
• How are you using assurance to drive risk culture?

PANEL MEMBERS:

SHAWN CHAN
Chief Risk Officer, Brighter Super

MANDAKINI KHANNA
Chief Risk Officer, MyState Limited

MODERATOR:

STEPHEN HUPPERT
Independent Consultant & Advisor

• Risk Culture is everybody’s business – how learning can create a culture of ownership.
• The benefits and unintended consequences of a compliance culture.
• What the journey looks like from compliance to learning culture – a Culture Maturity Framework.
• Creating the conditions where learning is in the drink water (DNA) of the organisation – tips and tricks.

ANDREW BROWN
Director at Adaptive Cultures

We assessed the extent to which their approach to managing conduct risk was professional and robust by looking at how they:

• Proactively identified conduct risk
• Encouraged accountability for conduct across all areas of the firm
• Supported staff to improve conduct
• Oversaw conduct risk.

MODERATOR:

JAMES TURNER
Director, Minter Ellison Consulting

PANEL MEMBERS:

MIA LANDER
Strategic Advisor, KPMG Australia

LAYLA SHAKKOUR
Associate Director – Risk and Compliance, Protiviti Australia

11:00 MORNING COFFEE & NETWORKING

This session will be broken down into three 15-minute quick fire insights:

1) Economical perspective – The impact of incentives, BFSI culture, and the effect on conduct
2) KPMG – Assessing the mindset and approach to organisational compliance and conduct
3) Cognitive bias – Processing decision making and the connection to reputational risk

ROUND TABLE DISCUSSIONS: PART TWO - THINKING AND PROCESSING CONDUCT RISK

This session will be broken down 50-minute discussion on your respective table. Our three KOLs from Part One will be circling
the room to join in table discussions. After 50 minutes, there will be a 5-minute break before 20 minutes of feedback to the
room and the three key opinion leaders.

INVITED CONTRIBUTORS:

STEPHEN HUPPERT – setting the scene

ALEXANDER ONG
Independent risk and compliance consultant

DR ASHISH MALIK
Applied Psychology, University of Newcastle

12:40 Networking Lunch

• Examine what’s happening with climate risk
• How can you embed climate risks in risk management
frameworks?
• What risk could emerge from climate litigation, and what
steps can be taken to mitigate these?

LYNDA DOWLING
Chief Compliance Officer, Webull Australia

CÉCILE WALTON
Director, Minter Ellison Consulting

MODERATOR:

STEPHEN HUPPERT
Independent Consultant & Advisor

• The relationship between Behavioural Risk and Risk Culture
• Identifying and measuring the key drivers of Behavioural Risk
with AI
• Predicting and enhancing Behavioural Risk with AI

HARRY TOUKALAS
Founder & CEO, Swarm Dynamics

14:50 Afternoon Tea

• What is generative AI and why is it different?
• Industry trends for the adoption of AI
• Using AI to better understand and manage compliance obligations
• Getting the most from AI technology and managing risks

SIMON THORPE
Director - Governance, Regulation &
Conduct Advisory, at Deloitte Australia

FENGFENG LI
Director, Deloitte

• How new technologies will drive fundamental changes in the way businesses operate
• The mega trends at play in the risk and compliance sector
• The risks and opportunities in this new industrial revolution
• How risk managers can get comfortable with the continuing uncertainty and disruption ahead

MIA LANDER
Strategic Advisor, KPMG

• The role of technology in increasing your companies risk maturity
• What is RegTech and what is the level of adoption
• How can Generative AI change and enhance the landscape
• Leading change and adopting throughout the organisation.

REBECCA ENGEL
Non Executive Director, The RegTech Association

Chair’s opening remarks

8:55 OPENING REMARKS FROM CHAIR

STEPHEN HUPPERT
Independent Consultant & Advisor

• Delivering BAU and compliance change on a practical level
– what does it involve?
• Advice and 101 on managing risk when delivering change
• Assessing challenges on a project level when managing change and implementing compliance change frameworks

AMANDA MURPHY
Head of Change and Commercialisation, ANZ

• Context is the development of post-retirement products by the finance sector
• The purpose of business is innovation (not profit)
• The “Abominable No Man” is not a risk manager
• Do the regulators rule?

ANTHONY ASHER
Associate Professor at UNSW

• Explore the curious world of risk appetite and what is needed to transform decision-making processes
• The essential guidance required for decision makers
• The role your policies and procedures must play
• Uncover the power of cutting-edge Decision Support Tools

BRYAN WHITEFIELD
Director, Bryan Whitefield Consulting

10.50 Morning Coffee & Networking

• Managing personnel security and risk: ignorance is not bliss
• The psychology of organisation culture? Is this perception of
reality?
• How can an organisation intentionally build a remote
culture?
• Key to Leadership is Self-Awareness

KHAI NGO
Managing Director, Accurate Background - Australia

• How is conduct risk managed?
• How can we drive risk culture and what do we define as an effective risk framework?
• How can we operationalise risk culture through understanding the need for processes and policies to address the root cause?
• How can we create cohesiveness to manage risk through hiring the right people, providing the right training and support programmes?

PANEL MEMBERS:

CRAIG GREENWOOD
Head of Compliance Advisory, Equifax

ANDREW BROWN
Director at Adaptive Cultures

MODERATOR:

STEPHEN HUPPERT
Independent Consultant & Advisor

12:30 Lunch Break & Networking

• Reflecting on policy and the regulatory response to digital assets, before looking to the future to cast predictions on how
regulators and financial services will respond as digital assets evolve.
• The impacts of technology whilst maintaining and strengthening operational capabilities and what future updates in tech, AI and the cloud will disrupt risk and compliance teams
• Assessing the issues of trust (and “trustlessness”) and validating trust with examples
• Shift in thinking and how to approach this – especially the inter-generational perspective
• Streamlining the origination, distribution, and transfer of digital assets
• The impacts of technology whilst maintaining and strengthening operational capabilities

INOKE FALETAU
Consultant, Crypto Law, Creo Legal

• Risk and Compliance Market Update
• Demand vs. Supply
• Regulatory Requirements Driving Demand?

AMANDA CHISHOLM
Associate Director – Legal, Risk and
Compliance, Kaizen Recruitment

• How can we remove a culture of fear?
• How do you know that your risk culture is appropriate?
• How can we make the change from viewing risk as a negative to a positive risk mindset?
• How can you embed risk to enable your business to grow?

DR JOLENE MORSE
Financial Services Consultant, EY

Risk is managed in the real word, not in a contained environment and, traditionally, risk systems provide insight in to only a fraction of the things you really need to understand to get comfort around how risks are managed. Getting good data to help effectively manage risks has been a challenge for many years. In this session, we will provide an overview of the information needs of all parties involved in risk management – business leaders, risk teams, and governance – and outline how
you can better provide insight to support effective conduct and risk management behaviour.

JOE MCDAVITT
Director, Operational Risk, Battleground

Registation Packages
Prices and offers for '7th Annual BFSI-ERM 2023 - Conduct Risk, Compliance & Culture 2023 Forum'
IN-PERSON ATTENDANCE REGISTRATION - Super Early Bird Registration:
Register before 30th May
2195 + GST
IN-PERSON ATTENDANCE REGISTRATION - Early Bird Registration:
Register before 30th Sept
2495 + GST
IN-PERSON ATTENDANCE REGISTRATION - Normal Registration:
Register After 30th Sept
2695 + GST
IN-PERSON ATTENDANCE REGISTRATION - GROUP TEAM REGISTRATION:

GROUP TEAM REGISTRATION - Register & pay for 3 delegates & get unlimited registrations*
(*Can attend in-person or virtually )

VIRTUAL ATTENDANCE REGISTRATION - Super Early Bird Registration:
Register before 30th May
1795 + GST
VIRTUAL ATTENDANCE REGISTRATION - Normal Registration:
Register after 30th May
1895 + GST
VIRTUAL ATTENDANCE REGISTRATION - GROUP TEAM REGISTRATION::

GROUP TEAM REGISTRATION - Register & pay for 3 delegates & get unlimited registrations*
(*Can only attend virtually)

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