Agenda

07:30        Risky Women Breakfast (by invitation only)

08:00        Summit Registration Opens

REGULATION AND CULTURE

08:45        MC Opening Remarks

       Richard Storey, Head of KYC & On-boarding, Clients & Consulting Asia Pacific, Thomson Reuters

08:55        Thomson Reuters Welcoming Remarks

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

09:00        ASIC Opening Keynote Presentation: Tone from the Top: Influencing Conduct & Culture

       Greg Medcraft, Chairman, ASIC

09:25        RBA Keynote Presentation: Liquidity in Domestic Fixed Income Markets

      Guy Debelle, Assistant Governor (Financial Regulation), Reserve Bank of Australia

09:50        Keynote Regulatory Panel Session - Comparative regulatory environments in Australia and beyond

  • How will forthcoming elections potentially affect financial regulation in Australia? What affect will capability reviews and (potential) royal commissions have in the local environment?
  • Planned global regulatory developments and their impact on Australia
  • What are the regulatory lessons to be taken from other regions?
  • Interpreting international capital liquidity requirements - defining the Australian landscape
  • Basel III and MIFID II; are there still issues which need to be addressed?

       Speakers

  • Adrian Blundell-Wignall, Director - Directorate for Financial and Enterprise Affairs, and Financial Markets Special Advisor to the Secretary-General, OECD
  • Greg Medcraft, Chairman, ASIC
  • Gavin McCairns, Deputy CEO, AUSTRAC
  • Moderator: Justin O’Brien, Professor of Business Law and Ethics, American University of Sharjah

10:40        Morning Networking Break

10:55        Driving good conduct outcomes, and regulation in the Australian context

  • What are the pitfalls in this area, and what can be learned from other markets?
  • What are regulators focusing on, and what are their expectations?
  • How are proactive organisations responding to these challenges?
  • What needs to change for regulation to actively encourage ethical behaviour in financial institutions; how effective have punishments been in Australia and elsewhere?

       Speakers

  • Niall Coburn, Senior Regulatory Intelligence Expert, Thomson Reuters
  • Tracey Lyons, Head of Policy, AFMA
  • Les Andrews, Chief Operating Officer, Aitken Investment Management
  • Moderator: Roberto Fitzgerald, Partner, EY

11:45        Implementing an Ethical Culture Across the Australian Financial Landscape: perspectives from across the industry

  • How do you define risk culture and how can this be measured? Who owns, regulates, and is accountable for this?
  • What are the essential ingredients of and ethical culture, and is a lack of competence a greater risk than effective compliance?
  • How have boards and regulators changed their expectations in recent times?
  • Practical steps to ensure corporate governance is an intrinsic part of your operating model
  • Culture and talent, and managing conflict

       Speakers

  • Richard Brandweiner, CIO, First State Super
  • Marian Poirier, Senior Managing Director, Head of Australia, MFS Investment Management
  • Moderator: Siva Navaratnam, Head of Risk Assurance - Technology & Shared Operations Institutional ANZ

12:25        Analyzing the role of technology in compliance and regulatory structures

  • Identifying where technology outsourcing offers and operational advantage; how to identify best value for your business
  • Where can technology consolidation provide cost and time efficiencies for compliance and risk functions?
  • Practical steps to minimize regulatory reporting requirements

       Speaker

  • Gerard Fullarton, Risk & Compliance Manager,IFM Investors

12:45        Lunch Break

13:45        OECD Keynote Presentation: Is Financial Regulation Achieving What We Want? The Unfinished Agenda

       Adrian Blundell-Wignall, Director - Directorate for Financial and Enterprise Affairs, and Financial Markets Special Advisor to the Secretary-General, OECD

OVERCOMING COMPLIANCE CHALLENGES

14:10        Developing effective remediation strategies as a core competency

  • What works, and what doesn’t, with stakeholder engagement across regulators, institutions and customers to deliver the best outcomes?
  • What are the defining characteristics of effective and efficient remediation programs, and how can this provide greater operational resilience within an organisation?
  • What are the common pitfalls and stress points of remediation programs?

       Speakers

  • Kylie Rixon, Chief Risk Officer - Wealth, ANZ Bank
  • Craig Greenwood, Chief Compliance Officer, Toyota Finance
  • Jan Eger, Head of APAC Government Relations, Thomson Reuters
  • Moderator: Roberto Fitzgerald, Partner, EY

14:50        AML, Anti-Corruption and Sanctions: The nexus between technology, regulation and risk management

  • The statutory review of the AML/CTF regime and its likely impact
  • Regulatory outlook: Tranche Two of Australia's AML/CTF regime
  • Dealing with "high risk" countries - practical measures to maximise opportunity and manage risks
  • Update on the changing world of sanctions compliance
  • AML/CTF compliance in the digital age: how well do you know your customers?
  • Using technology to limit financial crime concerns – the benefits and risks of an outsourced approach

       Speakers

  • Dinesh Anand, Head of Global Sanctions Compliance, ANZ Bank
  • Thyer McCaffery, Founderm International Payment and Transaction Monitoring Association
  • Nicholas McTaggart, Advisory Board Member,International Payment and Transaction Monitoring Association and former National Coordinator, Criminal Asset Confiscation Task-force, Australian Federal Police
  • Moderator: Nathan Lynch, Head Regulatory Analyst, Australia & New Zealand, Thomson Reuters

15:30        Afternoon Networking Break

TECHNOLOGY - RISK AND REWARD

15:45        Does fintech in Australia deserve special treatment, or would "sandbox" regulation give an unfair advantage?

  • Where will fintech drive long-term changes in financial markets, and what impacts will this have financial institutions?
  • To what extent will new regulation successfully manage the risks in fintech?
  • Where will fintech offer banks and financial institutions the greatest benefits, and how can they take advantage of these?
  • How can banks make best use of fintech developments, and how easy will it be to bring these “in-house”?

       Speakers

  • Benedicte Nolens, Senior Director, Head of Risk & Strategy, Hong Kong SFC
  • Nick Giurietto, CEO, ADCCA
  • Thyer McCaffery, Founder, International Payment and Transaction Monitoring Association International Payment and Transaction Monitoring Association
  • Stuart Stoyan, Founder and CEO, MoneyPlace
  • Moderator: Adam Bird, Australia Country Manager, CHEKK

16:25        Interview with an ethical hacker

                 In this in depth interview, an expert in corporate security with experience in ethical hacking will give his insights into cyber attacks, detailing what hackers look for and how they identify weak spots in cyber security. The session will offer practical advice on how to safeguard your digital operations and assets.

       Interviewer: Nathan Lynch, Head Regulatory Analyst, Australia & New Zealand, Thomson Reuters
       Interviewee: Timothy Dole, CEO, Ziriilo

16:50        Data Storage and Data Risk - Is this the biggest risk to your business?

  • How have data management strategies and regulations changed globally, and how do these affect the Australian environment?
  • What are the common weak links in data storage and management strategies, and how do you spot these?
  • How can you best manage cyber security risks when storing and transferring data?
  • What practical steps should you take in the instance of a data breach – how and when should you report this?
  • Remediation: what should your strategy be when remediation is required?

       Speakers

  • Anthony Robinson, Partner, Financial Services, Cyber Crime, EY
  • Blair McCauliffe, Chief Risk Officer, Metlife
  • Moderator: Kristen Tiner, Head of Risk Segment – Asia, Thomson Reuters

17:30        Keynote Presentation - The needle and the haystack – Magnify the needle or reduce the haystack?

       Gavin McCairns, Deputy CEO, AUSTRAC
  • How do we regulate less, protect Australia more and grow the economy all at the same time?
  • What does this mean for capability in AUSTRAC?
  • There are 84 recommendations in the report of the statutory review of the AML/CTF Act, Rules and Regulations – why is collaboration the most important?
  • What do elements like blockchain and crypto-currency mean for the future of AUSTRAC?

17:50        Closing Remarks

       Kimberley Cole, Head of Specialist Sales, Asia Pacific, Thomson Reuters

17:55        Event Closes and Networking Drinks Reception Begins

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The 4th Annual Australian Regulatory Summit is the leading forum for debate around topical issues facing the financial services industry in Australia and will deliver a comprehensive and impressive line-up of regulators and industry experts. Find out more.

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The summit will consider the key regulatory trends across Australia, including an review of specific regional challenges, conduct risk & responsible culture, and an update on fintech, through a series of exclusive keynote presentations, expert panel discussions and intimate interviews. Find out more.

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