Forum
4th ANNUAL ERM SERIES 2020CONDUCT RISK, COMPLIANCE &CULTURE 2020 FORUM IN FINANCIAL SERVICES
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About Conduct Risk 2020
Conduct is a lens into the culture of organisations and improving conduct within the industry is an essential part of rebuilding trust and supporting future sustainable growth and with the regulatory focus on conduct expected to persist, firms will continue to face pressure to be alert and focussed on building trust, confidence and maintaining transparency.
Risk Management

How Suncorp are assessing the management of non-financial and compliance risks in the three lines of defence model

Financial Analysis

Managing reputational risk in Financial Services and analysing employee management conduct and ownership and accountability initiatives from management

Trust and Confidence

DISCUSS what can be done to restore trust and confidence and how we can remove ambiguity around risky behaviour stemming from incentives

Accountability Regimes

Accountability Regimes, with much riding on the Banking Executive Accountability Regime (BEAR)

IBR’s 4th Annual Conference will be a platform to discuss ways of assessing operationalising risk management and how we can positively implement uplifting risk and compliance frameworks and systems and embed a risk appetite.”

Conduct Risk 2020 Speakers
Learn speakers of the Conduct Risk 2020.
Senior Executive Leader - Market Supervision, ASIC
Chief Risk & Compliance Officer, Mercer Pacific
General Manager, Advice Monitoring, NAB
Senior Legal Counsel, Group Legal – Corporate & Governance, Legal & Governance, AMP Ltd
Director, APAC Reputational Risk Approver, Credit Suisse
Head of Risk Models and Support, Business Banking Risk, Bendigo and Adelaide Bank
Head of Internal Audit for Wealth, Banking and New Zealand, AMP Ltd
Chief Risk Officer, Mine Super
CEO, Governance Institute of Australia
Head of the Ethics Alliance, The Ethics Centre
Chief Operating Officer, Executive Director, Policy & Risk Management AFIA
General Manager and COO, ACI Australia
Head of IT Risk and Compliance & Risk Futurist, Atlassian
Department of Applied Finance, Macquarie Business School
Director, Hall Advisory Services Pty. Ltd
CEO, SlicedTech and AIIA Federal Council Member
Independent Consultant
Risk Management Specialist, Eftpos Australia
Chief Risk Officer, Regional Australia Bank
EGM - Compliance and Reg Affairs, Chief Risk Office, Suncorp
Head of Compliance, BGC Partners and GFI Group
Group Whistleblowing Officer, Enterprise Risk Management, AMP Ltd
Audit, Assurance & Risk Consulting, Risk Assurance, KPMG
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Conduct Risk 2020 Schedule
Learn schedule, program and topics of the Conduct Risk 2020.
  • Assessing your governance framework against ASIC’s priorities for the year ahead
  • Discovering how ASIC are implementing strategic priorities in the supervision of market intermediaries
  • Understanding how we can improve governance and accountability

Refreshments and Networking opportunity for participants.

  • Key items to consider when creating or enhancing a
    conduct risk framework
  • How we can look to mitigate and manage risk failures (as an fyi a safe escalation policy is a key control here) hence why I think we should remove yellow highlighted text above and the implementation of systems, and tools is another control here hence we should remove yellow
    above.
  • Understanding how product design, sales, customer outcomes and the broader risk management strategy align
  • Analysing employee management conduct and ownership and accountability initiatives from management
  • Implementing the Royal Commission recommendations and discussing a summary of the findings
  • Assessing the importance of trust, transparency and accountability
  • Assessing the management of non-financial and compliance risks in the three lines of defence model
  • Reviewing the different challenges posed with managing and measuring non-financial risks
  • Assessing how the risk organization is set up across the
    three lines of defence to improve agility, transparency and
    effectiveness in the assessment, prioritization and management of non-financial risks

Lunch and Networking opportunity for participants.

THIS SESSION WILL ADDRESS:

  • Risk management responsibilities: The role of the board vs executive management
  • Managing culture in complex environments
  • Non-financial risk reporting
  • Accountability, performance and remuneration
  • Reporting: Connecting the dots and closing loops
  • Uplifting risk and compliance frameworks and systems
  • Embedding risk appetite
  • Articulating desired state of risk culture
  • Risk culture diagnostics
  • Alignment of remuneration with desired risk outcomes
  • Conduct risk management frameworks

Refreshments and Networking opportunity for participants.

DETERMINING HOW TO MEASURE RISK CULTURE AND ENHANCE A TRANSPARENCY MODEL

  • What creates fear and how does this influence risk decisions?
  • How can we remove a culture of fear?
  • How can we support mental health, wellbeing and protect human risk?
  • What responsibility does the board and executive level have in respect to risk culture
  • How can we implement a compliance culture from the top down?
  • Making the change from viewing risk as a negative to a
    positive risk mindset.
    • How can we remove a culture of fear?
    • Removing ambiguity around risky behaviour stemming from incentives, how can we change this and create a benchmark?
    • Increased focus on board and executive level take on risk
      culture
    • How can we implement a compliance culture from the top down?
    • This session will be in a presentation format but allow open Q&A, debate and discussion to take place with the delegation. The following will be discussed:
    • 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?

    Closing remarks from the Chair and end of Day 1

    Opening remarks and addressing attendees by the Chair

    UNDERPINNING THE THREE PILLARS OF CONDUCT RISK AND RISK
    MANAGEMENT TO RESTORE TRUST AND CONFIDENCE

    • Get the balance right
    • Focus on what counts, not just tick the boxes
    • Conduct/culture needs to be part of your DNA
    • Much is riding on the Banking Executive Accountability Regime (BEAR), but do such regimes work?
    • Is deferred remuneration effective for improving executive conduct?
    • What are the possible adverse consequences of the BEAR and deferred remuneration?
    • In what circumstances is BEAR likely to be most effective?
    • Find out about research in this area

    Refreshments and Networking opportunity for participants.

    • Assessing new reporting requirements with respect to
      the risks of modern slavery practices
    • The importance of conducting due diligence with respect to suppliers
    • Analysing the challenges of precise supply chain identific
      ation
    • Reporting on risks of modern slavery practices operationally and in the supply chain
    • Looking at what technologies can be utilised in dealing with high risk elements within the supply chain and a high volume of suppliers

    Lunch and Networking opportunity for participants.

    • How are companies dealing with the guidance on whistleblowing?
    • How are we operationalising the policy?
    • Does it apply to you and what were the changes?
    • How are we tracking in revamping the design programme and policy in conjunction with the changing legislative landscape?

    It’s important to recognise that although tone is set from the top, the middle management and those starting out are where there needs to be more focus to help develop the strong ethical foundation needed to allow successful cultures to flourish.

    • How can we identify an ethical culture? Let’s look for the positive signs..
    • Do we need to adjust our language?
    • What difference can The Banking and Finance Oath make?

    Refreshments and Networking opportunity for participants.

    • Making a change – how can we create the agility to respond to customer’s needs with the openness required to run a business and managed risk combined?
    • How can we create transparency as the end goal in the equation with the right people who have the right values?
    • Is mismanagement at the core of the problem and if so, what should we be doing to build the foundations to manage risk and compliance to the best of our ability?

    The importance of risk culture has been highlighted both through the Royal Commission, and by regulators across the world.

    • How do you manage risk culture?
    • How do you know that your risk culture is appropriate?

    This presentation will cover what contributes to an overall
    culture, roles and responsibilities in setting, embedding
    and monitoring culture, and how to measure/ understand
    the culture you have (and how to move towards the
    culture you want)

    Conduct Risk 2020 Resource
    Download a copy of the event brochure and know more about the venue.
    Registation Packages
    Learn about registation Prices and offers for Conduct Risk 2020.
    Super Early Bird
    Pay before 15th Mar 2020
    $2964.50

    Save $600

    Discounted Rate
    Pay before 12th Apr 2020
    $3184.50

    Save $200

    Normal Rate
    Pay after 12th Apr 2020
    $3624.50

    An event not to be missed!

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    25
    Speakers
    2
    Days
    100
    Participants
    20
    Sessions
    1
    Venue
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