Chair’s welcome



  • Eric J. Pan – Keynote Director of the Office of International Affairs, U.S. Commodity Futures Trading Commission (CFTC)


Fire-side chat – Geopolitical impacts on UK Financial Services

  • Cross-border collaboration: securities regulators
  • Changing international regulatory landscape
  • Burden of changing structures, Pipeline of operational changes required and impact on business continuity
  • Regulatory change items
  • US perspective
  • How does the UK fit into the global financial services landscape?




Breakout sessions

A choice of one of the following options

Conduct and Culture


  • Where are we now?
  • What are we still waiting for?
  • Implementation challenges
  • Regulatory expectations


  • Position of the GC in financial institutions
  • Expansion of SMR to rest of regulated sector
  • Implementation status and challenges
  • Lessons learnt one year on


  • Stuart Corrigall Director and Head of Product Structuring in EMEA, BlackRock
  • Antony Whitehouse Compliance Consultant, Whitehouse Compliance Advisory Ltd (WCA)
  • Julian Allen-Ellis Director, MiFID/MiFIR, Association for Financial Markets in Europe
  • Will Dennis Senior Managing Director, Head of Compliance, Financial Markets in Europe

FinTech and Innovation

  • FinTech as a positive disruptor
  • Legal uncertainty
  • Opportunities in FinTech
  • Innovation in FS technology




Breakout sessions

A choice of one of the following options

Asset management focus

  • Brexit and impact on private funds
  • MiFID2 product governance and funds
  • Loan origination by funds
  • Private fund limited partnerships
  • EMIR uncleared derivatives margin rules
  • SFTR
  • Aatif Ahmad International Counsel, London, Debevoise & Plimpton
  • James Witt Managing Director & Managing Counsel, BNY Mellon Investment Management

Data Protection and Cyber Security


  • GDPR Implementation
  • Impacts on cyber security
  • Business continuity

Newly Proposed ePrivacy Regulations

  • How with ePrivacy complement GDPR
  • Who will be responsible for which aspects?

What is next in the pipeline for data and privacy?

  • Matthew Whalley Director, Legal Risk, EY
  • Steve Holt Partner, Head of EMEIA Financial Services Information Security Practice, EY


Breakout sessions

A choice of one of the following options

Enforcement and Financial Crime

  • Regulatory intervention
  • Current investigations
    • SFO priorities
    • FCA priorities
    • Cross-border co-operation
  • Criminal Finances Bill
  • Market Abuse Regulation – 1 year on
  • Money Laundering Directives 4 & 5


  • The policy making agenda, the PRA Supervisory Statement
  • Remuneration and the FSB’s misconduct agenda
  • The Solvency II remuneration requirements
  • Alan Murray Senior Manager, Cross-Sectoral Policy, Prudential Policy Directorate, Bank of England




FCA and PRA Priorities and Regulatory Developments

  • FCA mission statement and business plan for 2017/18
  • Investor protection
  • Scope of regulation
  • Supervision, intervention and enforcement
  • Competition and market studies
  • Engagement with firms
  • Guy Wilkes Partner, Financial Services Regulatory & Enforcement, Mayer Brown
  • Robert Dedman Senior Director, Global Investigations and Compliance, Navigant Consulting


Drinks reception and networking

Please note the agenda is subject to change*

The page will be updated with further details on the agenda once they are confirmed.