NY Skyline

AGENDA

7.30-9.00 - Risky Women Breakfast (Invitation Only)

  • Welcome by Kimberley Cole & breakfast served
  • Presentation and discussion – The Cost and Implications of Compliance - Kristen Tiner (Head of Risk Segment - Asia)

8.50-9.00 - Welcome Remarks

Daryl Sisson, Managing Director, Australia and New Zealand, Financial & Risk, Thomson Reuters

9.00-9.30 - Opening Keynote

Greg Tanzer, Commissioner, Australian Securities and Investments Commission (ASIC)

9.30 - 10.15 - Surveying the landscape: Key financial and regulatory changes in Australia

Topics:

  • Financial System and Senate inquiries
  • Future of Financial Advice (FOFA)
  • Calls for a royal commission
  • Basel III implementation
  • A macroprudential analysis

Speakers:

  • David Lynch, Chief Executive, Australian Financial Markets Association (AFMA)
  • Professor Kevin Davis, Professor of Finance, University of Melbourne
  • Richard Gray, Executive Director, Head of Regulatory Reform Westpac
  • Pat Brennan, General Manager, Policy Development, Australian Prudential Regulation Authority (APRA)
  • Dr. Brindha Gunasingham, CFA, Principal and Founder, FitzBiz Investment Analysis & Strategy [Moderator]

10.15-10.45 - Coffee Break

10.45-11.15 - Keynote Speech

Philip Lowe, Deputy Governor, Reserve Bank of Australia

11.15-12.00 - Market supervision and market integrity – where does Australia stand?

Topics:

  • Where does Australia stand with market supervision and market integrity?
  • High-frequency trading and dark pools

Speakers:

  • John Fildes, Chief Executive Officer, Chi-X Australia
  • David Lawrence, Chief Operating Officer & Company Secretary, Asia Pacific Stock Exchange
  • Greg Yanco, Senior Executive Leader - Market & Participant Supervision, Australian Securities and Investments Commission (ASIC)
  • Anthony Serhan, President, CFA Society of Sydney [Moderator]

12.00-13.00 - Lunch

13.00-13.45 - Navigating bribery, corruption and other third-party risks

Topics

  • Tackling bribery, corruption and other third-party risks
  • Practical considerations for organizations to better manage and navigate these risks

Speakers:

  • Richard Harvey, Head of Treasury, CBH Group
  • Ian Holcroft, Head of Procurement Australian Hub, Laing O’Rourke Australia
  • Chantal Freeman, Legal Counsel, SunRice 
  • Neville Tiffen, Principal, Neville Tiffen & Associates
  • Moderator: To be confirmed shortly

13.45-14.30 - From KYC to sanctions: Tackling AML & Financial Crime

Topics

  • Latest developments around the FATF Mutual Evaluation
  • Review of the AML/CTF Act
  • Proposed Senate inquiry into bribery and corruption

Speakers:

  • Bradley Brown, Director International Policy, Australian Transaction Reports and Analysis Centre (AUSTRAC)
  • Julie Beesley, Chief Financial Crime Officer, Westpac Group
  • Dinesh Anand, Head of Global Sanctions Compliance, ANZ
  • Karl Supit, Vice President, Global Financial Crimes Compliance, Bank of America Merrill Lynch
  • Nathan Lynch, Head Regulatory Analyst, Australia & New Zealand, Thomson Reuters [Moderator]

14.30-15.00 - Coffee Break

15.00-15.45 - Staying ahead of Cyber Crime

Topics

  • The current extent of cyber threats
  • Data Protection Act and data privacy in Australia
  • Cyber security governance: modeling an effective risk and compliance framework

Speakers:

  • David McLean, Acting Assistant Commissioner, Australian Federal Police
  • Ronald Tucker, Chairman at Australian Digital Currency Commerce Association (ADCCA)
  • Costel Ion, Digital Crime Officer – Outreach Management, INTERPOL 
  • James Nunn-Price, Partner, Risk, Deloitte Australia
  • Kristen Tiner, Head of Risk Segment, Asia Pacific, Financial & Risk, Thomson Reuters [Moderator]

15.45-16.30 - Understanding conduct risk and why is it crucial to your organization’s compliance framework

Topics

  • Compliance breaches in wealth management
  • Internal control failures at major financial institutions
  • How to deal with customer complaints, breach reporting, disclosure and regulatory relations

Speakers:

  • Christian Hunt, Global Head of Compliance & Operational Risk Control for Asset Management, UBS
  • Anatoly Kirievsky, Country Compliance Officer, Bank of America Merrill Lynch
  • Kevin Nixon, Partner, Deloitte Australia (TBC)
  • Niall Coburn, Senior Regulatory Intelligence Expert, Thomson Reuters [Moderator]

16.30-17.00 - Keynote Speech: Future trends in regulation – Digital regulation in financial services

Camille Blackburn, Advisor and Director - Regulation and Financial Systems

17.00-17.10 - Closing Remarks

Kristen Tiner, Head of Risk Segment, Asia Pacific, Financial & Risk, Thomson Reuters

17.10 - Cocktails and Networking

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The 3rd Australian Regulatory Summit May 27th 2015
Sofitel Sydney Wentworth Hotel