09:10
Chairman’s welcome and introduction
- Lisa Rosen Chief Compliance Officer, The European Bank for Reconstruction and Development
09:30
PANEL SESSION: Understanding how the FCA’s new competition powers will affect your business
- The FCA and the CMA – what exactly will and won’t the FCA be able to do?
- How will the two regulators coordinate exercising their competition functions?
- Which industry sectors are in the firing line?
- How interventionist will the FCA be with its new powers?
- The risks and opportunities for firms – how you can ride the crest of the wave
- Antony Whitehouse UK Head of Compliance and global head of fixed income compliance, BNP Paribas
- Sharon Horwitz Director of the sector regulation unit, CMA
- Nick Dutton Head of Compliance, BATS Chi-X Europe
- Catriona Munro Partner, Maclay Murray & Spens
10:20
Morning coffee
10:40
PANEL SESSION: Enforcement trends in financial services and how best to respond to them
- Understanding the FCA’s current enforcement priorities and targets
- What enforcement tactics are being used by the FCA?
- Tom Spender Director of Retail and Regulatory Investigations, FCA
- Monique Melis Global Head of Consulting, Kinetic Partners
- Richard Sims Partner, Simmons & Simmons
- Damian Bisseker Head of Litigation, EMEA, Credit Suisse
11:30
STREAMED SESSION (1)
ASSET MANAGEMENT (A1): Marketing AIFs in the AIFMD landscape – what was the impact and what next?
- Practical insights into the latest distribution and capital raising issues across the EU
- Is the AIFMD passport working? What is ESMA likely to report to the Parliament, Council and Commission in July 2015?
- Using AIFMD platform solutions
- Jonathan Greenwold Director of Legal and Compliance, Aspect Capital Limited
- Nick du Cros Vice President and Compliance Officer, HarborVest Partners
- Martin Parkes Director, Blackrock
- Richard Frase Partner, Dechert
BANKING (B1): Incorporating the new senior manager’s regime in your business
- Bridging the gap between the current regime and the new one
- How exposed will individuals be to regulatory action?
- Attracting the right people to the roles
- Practical impact of new regime on investigations and enforcement actions
- What will be the impact on internal governance structures and reporting lines?
- David Sheldon General Counsel, EMEA, Credit Agricole
- Tom Spender Director of Retail and Regulatory Investigations, FCA
- Kimon de Ridder Chief Compliance & Regulatory Officer, GE Capital International
- Andrea Finn Partner, Simmons & Simmons
12:20
Lunch Break
13:20
STREAMED SESSION (2)
ASSET MANAGEMENT (A2): Use of dealing commission: what the FCA expects you to be doing
- Why the FCA is concerned about dealing commission?
- How you can meet FCA expectations?
- Impact of MiFID II on your dealing commission arrangements
- Richard Frase Partner, Dechert
- Andrew Shrimpton Global Head of Regulatory Compliance, Kinetic Partners
- Philip Niel General Counsel and Chief Compliance Officer, Egerton Capital
BANKING (B2): The new consumer rights bill – what are the details between the lines?
- What are the key cases, principles and lessons? Decisions you need to watch out for
- Preparing your staff – the dos and don’ts
- Charlotte Taggart General Counsel, Cabot Credit Management
INVESTMENT & SECURITIES (C2): Preparing for MiFID II
- Overview of key changes
- Implementation costs and other key challenges for firms
- How should you organise your MiFID II project?
- Penny Miller Partner, Simmons & Simmons
- Christiana Norman Managing Director and Head of EU regulatory reform, Bank of America Merrill Lynch
- Alistair Wellmann Managing Director and Head of Compliance, EMEA, Scotiabank
- Chris Johnson Senior Product Manager, Market Data Services , HSBC Security Services
14:10
STREAMED SESSIONS (3)
ASSET MANAGEMENT (A3): UCITS V: what do you need to do in time for March 2016?
- Actions to take ahead of implementation deadline of March 2016
- How to draft and implement remuneration policies
- Choosing a single depositary
- Martin Parkes Director, Blackrock
- Declan O’Sullivan Partner, Financial Services, Dechert
INVESTMENT & SECURITIES (C3): Financial crime prevention and investigation: data meets duty
- The new EU Data Protection Reform: how will it impact your business?
- The institutional challenges caused by new data protection and data privacy responsibilities
- Joanna Perkins Chief Executive, Financial Markets Law Committee
- Cameron Craig Deputy General Counsel and Group Head of Data Privacy, HSBC
- Vivienne Artz Managing Director, IP Law Group, Citi
15:00
Coffee Break
15:20
PANEL SESSION: The key trends and challenges of remuneration for financial services firms and how to avoid the pitfalls
- PRA and FCA remuneration rules to strengthen alignment of long-term risk and reward: operation of new rules and common pitfalls
- Incorporating the right culture in your business alongside the new remuneration rules
- Use of “allowances”: is this a circumvention of remuneration rules and how has the EU responded?
- The 3 ways you should prepare your company for a claw back
- Hugh Burns Remuneration Team Manager, PRA
- Anna Berdinner Regulatory Analyst, Asset Management Regulation, AIMA
- Simon Hills Executive Director, Prudential
- Alistair Wellmann Managing Director and Head of Compliance, EMEA, Scotiabank
- Ian Fraser Partner, Simmons & Simmons
16:10
PANEL SESSION: What’s on the horizon in terms of European regulation for the financial services sector?
- Looking ahead at the EU’s vision for sustainable long-term growth
- Will we ever have a single rulebook in the EU?
- How can your business influence EU legislation?
- A future of opportunities – what’s further down the road?
- Vicky Marissen Managing Director, PACT EUROPE
- Nick Dutton Head of Compliance, BATS Chi-X Europe
- Joanna Perkins Chief Executive, Financial Markets Law Committee
- Andrew Douglas Head of Government Relations, DTCC