Compliance and Risk Forum 2016

San Francisco
October 19, 2016

Le Meridien

333 Battery St.
Room: Mercantile (B Level)
San Francisco, CA 94111
Tel: 415-296-2900


1:30 pm –Registration


2:00 pm – Welcome and Introduction


2:10 pm – 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.

Jorge Rodriguez, Senior Principal Consultant, ACA Compliance Group
Randall Mikkelsen, Managing Editor, Compliance and Regulatory Risk, Thomson Reuters
Tito Pombra, Chief Compliance and Anti-Money Laundering Officer, Matthews Asia
Roberta Vassallo, Attorney Advisor, United States Securities and Exchange Commission

3:00 pm - Choosing And Monitoring Your Third Parties And Gatekeepers

Reports indicate that 90 percent of the U.S. Department of Justice enforcements involve third parties. As many relationships were vetted years ago when standards of diligence were less prudent, businesses must institute a process for reevaluating third party engagements as well as for bringing on new partners and agents. For businesses that are looking to determine the level of risk they are willing to bear, they must consider a range of questions and during this session our panel will explore considerations including:

  • What are the criteria to screen against?
  • How has this changed and evolved over recent months?
  • Are you reviewing established relationships?
  • When and how often do you undertake enhanced due diligence?

Peter Kohler, Pre-Sales Director, Thomson Reuters
Lee Weiner, Director of Electronic Trading , JMP Securities
Maria Casillas, President and Chief Compliance Officer, TimesofMoney Inc.
Dan Maloney, Senior Manager - Third Party Risk, Accenture

3:50 pm – Networking Break


4:05pm - Evolving Compliance: Trends And Technology That Are Changing The Profession

The outlook for the compliance profession continues to evolve. Although the pace of regulatory change continues at an alarming rate, most compliance departments are seeing the historical year over year rise in available budgets abate, and the availability of highly skilled professionals is at an increasing premium. During this session our panel will look at how the changing environment and the introduction of new technology are impacting the business of compliance. Topics will include:

  • Addressing challenges such as increased UBO requirements and personal liability
  • Using technology to free up resources and remove barriers to entry
  • Merging the critical human element with technology

Matthew Tuchow, Principal, The Tuchow Group
Andrew Yuille, Head of Partner and Platform Ecosystem Risk, Thomson Reuters
Eric Hensley, Chief Technology Officer & Chief Security Officer, Aravo Solutions
Petra Tang, Partner, Berry Appleman & Leiden LLP

4:55 pm – Closing Remarks


5:00 pm – Networking Cocktail Reception


Event Schedule

Tuesday, September 13
San Francisco:
Wednesday, October 19

Monday, October 24
Wednesday, October 26

Thursday, November 17