Welcome from Thomson Reuters


Chair’s welcome


Keynote: Emerging technology

The future of business and innovation


The impact of new technology on financial services and regulation: What should I know now, and why?

According to the Worldbank, Distributed Ledger Technology (DLT) could “Fundamentally change the financial sector, making it more efficient, resilient and reliable”. But what are the likely impacts to the UK financial services sector, and those who work within?

  • What is driving technology spend and adoption?
  • Crypto- currencies: 
    • DLT, blockchain, and smart contracts
    • Crypto assets, shares and tokens
    • What are the real-world impacts on the UK FS sector?
  • Cloud computing in financial services: where are we?
    • Regulatory continuity
    • Regulator’s perspective
    • Data governance, security and privacy concerns
    • Opportunities for UK FS companies
  •  Artificial intelligence and robotics
  • Trading questions and regulation of smart-algorithms
  • ICOs




Breakout options

A choice of one of the following options

Breakout option 1: ICOs & Beyond

  • Legal uncertainty and challenges for Fin/RegTech
  • Rewards and opportunities of adopting new Tech
  • Practical considerations of implementing new Tech and overcoming legacy system issues
  • The role of Tech in minimising risk and maximising compliance with new requirements
  • Will Tech help companies with regulatory burden and how can it help with existing requirements?
  • Promoting competition and innovation
  • Nirvana Farhadi Global Head, Financial Services RegTech, Risk & Regulatory Compliance Affairs, Hitachi
  • Dr Joanna Perkins Chief Executive, Financial Markets Law Committee
  • Ian Mason Partner, Gowling WLG
  • Penny Sanders Director UK, Financial Services Regulation, Gowling WLG

Breakout option 2: Asset management spotlight

  • What should we be focusing on right now?




Breakout options

A choice of one of the following options

Breakout option 3: Transforming culture and governance: MifID2, MAR & SM(C)R

  • The UK financial services sector, post MiFID2 implementation
  • Culture and conduct risk
  • What is the real meaning of “greater individual accountability” for in-house lawyers?
  • How will the SMCR apply in these different areas?
  • What steps should you be taking now?
  • Challenges of measuring & reporting on culture, governance and conduct risk

Breakout option 4: Privacy, data protection and cyber security

  • Data privacy: this is where you should be with your GDPR programs
  • Cyber-resilience of the financial services industry
  • GDPR as an opportunity and minimising risk
  • Understanding the regulatory expectations: Accountability and governance
  • PSD2: practical implications and breach reporting/notifications




Breakout options

A choice of one of the following options

Breakout option 5: Legal Landscape and potential risks: What is changing and why?

  • Brexit
    • International cooperation
    • UK’s role as financial services centre of Europe
    • Priorities and financial services strategy moving forward
    • Post-Brexit outcomes
  • Passporting
  • International updates

Breakout option 6: Competition and working with your Regulator

The intersection of competition and regulation:

  • What to expect when being investigated
  • The FCA use of competition powers
  • Reconciling competing requirements from competition authorities and financial regulators
  • EU, CMA, FCA and Payments and other sector regulators, plus other jurisdictions

How to run an internal investigation

  • Review and interview
  • Legal privilege
  • criminal risk
  • Working in a complex and regulated organisation

Practical tips

  • Nicola Northway Partner, Baker & McKenzie
  • Daniela Bowry-Blum Senior Specialist Counsel (Competition), Legal & Regulatory, Santander
  • Sharon Horwitz Director, Sector Regulation, Competition and Markets Authority
  • Carole Begent General Counsel and Head of Regulatory and Competition Enforcement, Payment Systems Regulator


Enforcement and financial crime

  • Is the nature of enforcement changing?
  • Enforcement priorities of the regulators
  • Penalties for breach of Sanctions
  • MLD4&5: Strengthening controls
  • Whistleblowing
  • Failure to prevent: what you should be doing now
  • John Sheehan Deputy Chief Crown Prosecutor - Specialist Fraud Division, CPS
  • Damian Bisseker Head of Litigation, EMEA, Credit Suisse
  • Steve Smith Deputy Head of Financial Crime, EMEA, Financial Crime Compliance, Nomura International
  • Andrew Ducker Principal Consultant, Hunstwood
  • Jane Jee CEO, Kompli-Global Limited



High level summary to bring together key observations from throughout the day.


Drinks Reception

*Please note the agenda is subject to change

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