Thomson Reuters 2016 London Compliance & Risk Summit


08.15 - 09.00   Registration

Registration and breakfast

09.00 - 09.20   Welcome & Introduction

Andrew Yuille – Head of Partner & Platform Ecosystems – Risk, Thomson Reuters
David Craig – President – Financial & Risk, Thomson Reuters

09.20 - 10.00   General Session 1

Lord (Jonathan) Evans, Former Director-General British Security Service

10.00 - 10.45   General Session 2

Interview with Gerard Lyons, Economic Advisor to Mayor London and Andrew Yuille, Head of Partner & Platform Ecosystems – Risk, Thomson Reuters

10.45 - 11.15   Coffee

Coffee break and networking

11.15 - 11.55  Panama Papers Panel Discussion


11.55 - 12.55   Breakout Session 1

Session A *Fully Booked*

Learning Superstars and Trends

Learn how industry leaders are utilizing innovative technologies to enhance learning programs to meet the needs of today’s tech savvy professionals. As attention spans decrease and time spent away from daily responsibilities becomes a luxury, professionals across all industries must find inventive ways to efficiently train their organization while appealing to employees. Creating engaging learning experiences is vital to employee retention and memory recall, and helps build a strong culture within an organization. Join our panel of experts from within and outside the financial services arena and learn how their organizations are pioneering the way for learning with innovative technologies such as gamification and microlearning.

Moderator: Christine O’Connell, Global Head of Risk Strategy & Business Development, Thomson Reuters
Martin Schofield, Global Financial Crime Prevention Faculty Lead, Thomson Reuters
Patricia Alleyn CHRP, Sector Compliance Officer & Head of Compliance Training and Communication, SNC-Lavalin
Nigel Briggs, Head of Compliance, Newbury Building Society
Alex Reeve, Learning Consultant, Brightwave Group

Session B

Addressing The Regulatory Challenge, Data Management, Operations Processes & Reporting

This practitioner lead panel aims to address how firms are addressing: regulatory challenges, what the future for this sector looks like, the shared commonalities impacting firms, how firms are using effective data management and operational workflows to implement compliant solutions, what impact compliance and risk management is having on the bottom line, and what technologies, utilities and open source options are available to firms.

  • Key regulatory trends and themes impacting market practitioners 
  • Prioritizing and mapping common regulatory challenges and requirements 
  • Commonalities and differences, challenges of divergence & the absence of standards
  • Change of tone: regulators moving beyond understanding to an expectation of results and what this means for the industry
  • What the next five years look like and what this sector can expect from a regulatory perspective
  • Review of some best practice cases relating to risk data aggregation, reporting and/or cost reduction/improvement
  • 7 steps to ensuring optimal resource planning and compliance (delegate take-away) 

Moderator: Marion Leslie, Managing Director of Pricing & Reference & Enterprise Risk, Thomson Reuters
Chris Johnson, Senior Product Manager, Market Data, HSBC Security Services
Peter Whitaker, Head of Regulatory Risk Management - EMEA Equities, UBS
Sara Cresswell, Goldman Sachs
Clare Eastburn, Citi

Session C *Fully Booked*

The KYC revolution: The need for a sustainable process 

This session explores a new study from Thomson Reuters that articulates the pain felt by companies around on-boarding and ongoing customer due diligence, as well as, how banks and asset managers are tackling this challenge with new technology and methodology approaches.

Moderator: Steve Pulley, Managing Director, Client On-Boarding and KYC Solutions, Thomson Reuters
Neil Jeans, Global Head of Policy, Thomson Reuters
Patrick Kidney, Global Head of Financial Crime Prevention, Man Group
Stephen Lock, Head of Group Financial Crime Prevention, Old Mutual plc

12.55 - 14.00   Lunch

Lunch and networking

14.00 - 15.00   Breakout Session 2

Session A

The Compliance Crystal Ball: what does the future hold for senior managers, compliance technology, and, regulators?

Misconduct liability is steadily increasing for senior managers and compliance functions across the world. Technology is evolving to help meet the growing demands impressed upon financial organisations by regulators, but can it keep up?  
This session will look forward at the big trends expected to revolutionise compliance in the next five years. Can a robo-advisor keep your investments growing and compliant? Will a bespoke, automated compliance programme ensure you mitigate reputational damage? What does the future hold for personal liability and how will the response of regulators change? Join us to discuss this and the results of the Thomson Reuters annual conduct risk survey. 

Moderator: Ashley Kovas, Senior Regulatory Intelligence Expert, Thomson Reuters
Nick Gibson, Director of Compliance Solutions, Chase Cooper Ltd
Paul Lack, Chief Operating Officer & General Counsel, Exotix
Ben Hur, MLRO & Head of Financial Security Department & Financial Crime, Credit Agricole
Lisa Osofsky, EMEA Regional Chair, Exiger

Session B

Implementing Solvency II's Capital Adequacy Requirements, Data Management Processes & Enhanced Risk Mitigation

An interactive panel of leading practitioners focused on the challenges facing Insurers, Asset Managers and their Asset Servicers in meeting this complex EU Directive, which was implemented on January 1, 2016, and is now transposed into national law in most member states.

Solvency II, the most wide-ranging regulation to hit the European insurance industry in a generation, requires insurers to provide high levels of transparency around their investments and how they are valued.
Understand the primary obstacles facing practitioners, and how they are dealing with them. Among the topics for discussion are:

  • Latest status of the Solvency II directive and its enforcement
  • Best practices for Solvency II compliance
  • Operational challenges facing insurers, asset managers and their servicers
  • Implications for data ownership, particularly under Solvency II’s ‘look-through’ requirements

Moderator: Andrew Delaney, President & Chief Content Officer, A-Team Group
Gideon Benari, Editor & Owner, Solvency II Wire
Andy Adams, Head of Financial Regulatory Solutions EMEA, Thomson Reuters
Annette Jermany, Solvency II Reporting Executive, Henderson Global Investors
Kate Armitage, Principal Project Manager, Invesco

Session C

Tipping Point or Tip of the Iceberg? *Fully Booked*

The complex nature and sheer scale of supply chains means that companies need robust and systematic processes to address the issues and demonstrate their due diligence processes. Have we reached a tipping point or is this just the beginning? The discussion will address the following key concerns:

  • Companies are increasingly facing regulatory, consumer, and investor pressure to understand, monitor and manage risks in their supply chain. Why is this happening and how is it being addressed?
  • Evidence in a recent report suggests that only 1/3 of companies look beyond their first tier. What is the best practice and whose advice should be taken?
  • Transparency of environmental, social, and governance risks decrease the further down the supply chain you go. What are the lasting effects of non-compliance and how do companies avoid these pitfalls?
  • Are companies that truly understand their supply chain better placed to improve risk management and meet stated business and sustainability objectives?
  • Awareness of regulatory changes that happen in real time are vital, but how can technology and intelligent data aid in reacting effectively?

Moderator: Warrick Beaver, Managing Director, Customer & Third-Party Risk, Thomson Reuters
Anthony Kenny, Assistant General, GlaxoSmithKline
Nick Wildegoose, Global Supply Chain Product Leader, Zurich Insurance Group
Peter Van Veen, Director, Business Integrity Programmes, Transparency International UK
Shane Riedel, Head of Financial Crime Compliance for Financial Institutions & Correspondent Banking, Standard Chartered 

15.00 - 16.00   General Session 3

Closing remarks

Keynote Speaker: Mark Steward, Director of Enforcement, FCA

16.00 - 16.15   Wrap up and Close

Event information

Tuesday 26th April 2016
08:15 - 16:15 GMT
The Brewery
52 Chiswell Street,