Registration of attendees.

• 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

• Why it was bought into play
• How it was bought up
• Where it is now?
• Where it’ll be in the future

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

• 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