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Financial and Risk Summit - New York


8:00am – Networking Breakfast and Registration

8:45am – Welcome and Introduction

Arthur Rassias, Managing Director, Americas, Thomson Reuters; Financial & Risk Division

9:05am – Keynote

Axel Threlfall, Reuters, Editor-At-Large, Thomson Reuters
Juan Zarate, Chairman and Co-Founder, The Financial Integrity Network

9.55am - General Session 1

Transforming Culture and Conduct to Build Trust

As the foreign exchange market comes back from the recent LIBOR and Forex scandals it has become apparent that rebuilding trust is a key component to recovery and on-going stability. Building and maintaining credibility must stem from the corporate culture however; this is often the most difficult area of the organization to transform.

During this session our panel of experts will:

  • Look at the work being done by the Bank for International Settlements to strengthen the code of conduct standards and principles in foreign exchange markets
  • Consider how this work can apply across financial services organizations as well as other industry segments
  • Discuss the organizational benefits of strengthening corporate codes of conduct

Moderator: Jodi Burns, Head of Regulations, Post Trade Networks, Thomson Reuters
Marcy Cohen, General Counsel, ING Financial Holdings Corp
Scott McCleskey, Independent Advisor
David Puth, Chief Executive Officer, CLS Group Holdings

10:45am - Networking Break

11:05am - General Session 2

How Regulatory Actions Inspire Innovation

In the past decade we have seen a number of organizations face regulatory censure; leading to increased scrutiny from both governmental oversight agencies and the general public. In most cases the companies have successfully rebounded and even thrived. During this session our expert panel will look for common factors that led to these compliance failures, how the organization’s relationship with regulators changed and then evolved, and how this forced innovation that all can learn from.

Moderator: Susannah Hammond, Senior Regulatory Intelligence Expert, Thomson Reuters
Elin Cherry, Principal and Head of Capital Markets Practice , Compliance Risk Concepts
Dan Dorsky, Compliance Officer
Myles Edwards, Esq., General Counsel, Chief Compliance Officer & Chief Operating Officer, Shufro, Rose & Co., LLC

11:55am - Networking Lunch

1:00pm - Breakout Sessions

1. Keeping your organization in front of global bribery and corruption regulatory changes

While the U.S. Foreign Corrupt Practices Act (FCPA) is still the most widely recognized anti-bribery and anti-corruption law globally, there have been a number of recent initiatives which are driving greater enforcement. This has led organizations to increase their focus on eliminating potential acts of bribery and corruption. Find out about the long arm of global regulatory pressure, extending beyond existing FCPA and UK Bribery Act requirements, to include international OECD guidelines and a range of local anti-bribery laws. And more importantly, join this discussion about how to incorporate effective vetting and monitoring of your third-party relationships in order to keep your organization in compliance.

Moderator: Dave Curran, Global Director, Risk & Compliance, Thomson Reuters
Hourad Afsar , Founder & Managing Director, Umbrella Global Risk Consulting LLC
Robert M Appleton, Esq, Partner, Day Pitney LLP
Bob Chersi, Executive Director, Center for Global Governance, Reporting & Regulation, Lubin School of Business, Pace University
Kathleen Franklin, Senior Counsel, Compliance , Sony Corporation

2. Preparing your Employees to be the Compliance Front Line

Maintaining a culture of compliance requires far more than strong compliance programs and processes. As the front line in compliance, the business has a leading role to play to ensure that compliance is in the DNA of the organization. During this session we will discuss how to ensure that your employees, at all levels, are engaged around ethical and compliant behavior via robust training, code of conduct, managing conflicts, cases, escalations and more.

Moderator: John Arendes, Head of Compliance Learning, North American Sales, Thomson Reuters
Mitch Avnet, Founder & Managing Partner, Compliance Risk Concepts
Maria D’Avanzo, Division General Counsel & Chief Ethics Officer, Cushman & Wakefield
Joseph Sherno, VP-Corporate Compliance, QBE North America

3. The Impact of Chinese Investment in the U.S.

Chinese outbound investment has increased significantly in recent years. More Chinese companies are going global, and with more projects and investments undertaken along the Belt and Road initiative by the Chinese Government, the growth trend is expected to continue. It has been suggested that more investments will be made in developed economies including the U.S., where there are more high-quality targets which can help Chinese businesses transform and evolve via access to new intellectual property, culture and innovation

In this session, panelists will share their observations and views on

  • The trend and impact of Chinese investment in the U.S.
  • The opportunities and challenges for both economies
  • How the cross border M&A environment might evolve

Moderator: Matt Toole, Head of Deals Intelligence, Thomson Reuters
Peter Reisman, Chief Executive Officer, C-Bridge Capital Partners LLC
Greg Roumeliotis, Editor in Charge, Corporate Finance and M&A, Thomson Reuters

1.50pm - Networking Break

2:10pm - Breakout Sessions

1. The KYC revolution: The need for a sustainable process

This session explores the pain felt by companies around on-boarding and ongoing customer due diligence, as well as how banks and asset managers are using new tools, technology and processes to tackle these challenges.

Moderator: Andrew Yuille, Head of Partner & Platform Ecosystem - Risk , Thomson Reuters
David DeLeon, Senior Manager, Accenture
Bill Fearnley, Jr., Compliance, Fraud & Risk Analytics - Research Director, IDC Financial Insights
Janet Maugans, Compliance Manager, Valley Forge Casino Resort
John Solomon, Head, Risk Intelligence and Assessment, Thomson Reuters

2. Best Practices to Prevent, Detect and Investigate Third Party Risk

With heightened enforcement activity and increased regulatory pressure, it’s vital to know who you are doing business with. To ensure compliance with a host of global regulations including the US Foreign Corrupt Practices Act, Conflict Minerals Rule (Dodd Frank Section 1502), UK Bribery Act, and Modern Slavery Act it is imperative to understand your counterparties and ensure your staff understands what is ethical, compliant and in line with policy and procedure. In this session we will discuss how to drive an ethical supply chain from both points – your employees and your counterparties – with a focus on developing an effective third party risk program by:

  • Building and operating internal controls
  • Preventing doing business with heightened risk individuals and entities
  • Detecting suspicious activity
  • Investigating cases in-depth
  • Monitoring continuously and reporting to key stakeholders and regulators
  • Training and educating employees and counterparties

Moderator: Steve McDonald, Head of Market Development, Risk, Thomson Reuters
Lynn Gefen, Chief Compliance Officer, HomeServe USA
Michael Littenberg, Partner, Securities & Public Companies Practice Group, Ropes & Gray
Daniel Maloney, Senior Manager – Third Party Risk Management, Accenture
Rear Admiral Chris Parry, Former Director General UK Ministry of Defence, Merl House Strategic Forecasting

3. Are you Cloud Ready?

Cloud services adoption has hit a tipping point. Within the financial services community, the acceptance of cloud based computing has grown as the comfort level with security and governance increases. This has driven a growing appetite for cloud services. Enterprise cloud capabilities attract added customer attention, as companies wish to exploit the agility, scalability, and flexibility of the cloud using machine learning techniques to get more out of the data while addressing workflow and efficiency demands across their workflow.

The panel will discuss what financial firms are doing to transform and become Cloud Ready!

Moderator: Asif Alam, Global Business Director, Technology Sector, Thomson Reuters
David Lewis, Managing Director, BNYMellon
Lisa Noon, Global Cloud Leader, Accenture Cloud
Peter-Mark Verwoerd, Cloud Solutions Architect - GCP, Google

3:10pm - General Session 3

Regulator Roundtable

Attend this session to hear from the regulator’s point-of-view. Representatives from several agencies will discuss trends in enforcement and provide insight into where these key regulatory bodies are focusing time and resources.

Moderator: Marion Leslie, Managing Director, Pricing & Reference and Enterprise Risk, Thomson Reuters
Clark Abrams, Chief, Money Laundering and Financial Investigations Unit, Special Narcotics Prosecutor for the City of New York
Bill McMurry, Supervisory Special Agent, FBI
Michelle Rindone, Assistant Chief, New York Office, Antitrust Division, U.S. Department of Justice

4:00pm - Closing

4:10pm - Networking Cocktail Reception