08:15
Registration
09:00
Welcome from Thomson Reuters
09:05
Chair’s welcome
- Fiona Robb – Conference Chair Head of Operations, Compliance, Legal and Governance, Schroders
09:10
Keynote: Emerging technology
The future of business and innovation
- Joseph Raczynski – Keynote Speaker Technology Manager, Thomson Reuters
09:45
The impact of new technology on financial services and regulation: What should I know now, and why?
According to the Worldbank, Distributed Ledger Technology (DLT) could “Fundamentally change the financial sector, making it more efficient, resilient and reliable”. But what are the likely impacts to the UK financial services sector, and those who work within?
- What is driving technology spend and adoption?
- Crypto- currencies:
- DLT, blockchain, and smart contracts
- Crypto assets, shares and tokens
- What are the real-world impacts on the UK FS sector?
- Cloud computing in financial services: where are we?
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- Regulatory continuity
- Regulator’s perspective
- Data governance, security and privacy concerns
- Opportunities for UK FS companies
- Artificial intelligence and robotics
- Trading questions and regulation of smart-algorithms
- ICOs
- Ioana Surpateanu Director of Government Affairs, Citi
- Alex Metcalfe Head of Public Sector Policy , ACCA
- Pinar Emirdag SVP, Head of Digital Product Development and Innovation, State Street
- Simon Horner Head of Policy and Innovation, City of London Corporation
10:45
Break
11:15
Breakout options
A choice of one of the following options
Breakout option 1: ICOs & Beyond
- Legal uncertainty and challenges for Fin/RegTech
- Rewards and opportunities of adopting new Tech
- Practical considerations of implementing new Tech and overcoming legacy system issues
- The role of Tech in minimising risk and maximising compliance with new requirements
- Will Tech help companies with regulatory burden and how can it help with existing requirements?
- Promoting competition and innovation
- Nirvana Farhadi Global Head, Financial Services RegTech, Risk & Regulatory Compliance Affairs, Hitachi
- Dr Joanna Perkins Chief Executive, Financial Markets Law Committee
- Ian Mason Partner, Gowling WLG
- Penny Sanders Director UK, Financial Services Regulation, Gowling WLG
Breakout option 2: Asset management spotlight
- What should we be focusing on right now?
- Stuart Corrigall Director and Head of Product Structuring in EMEA, BlackRock
- Ashley Kovas Senior Regulatory Intelligence Expert, Thomson Reuters
- Matthew Baker Partner, Bryan Cave Leighton Paisner
12:15
Lunch
13:15
Breakout options
A choice of one of the following options
Breakout option 3: Transforming culture and governance: MifID2, MAR & SM(C)R
- The UK financial services sector, post MiFID2 implementation
- Culture and conduct risk
- What is the real meaning of “greater individual accountability” for in-house lawyers?
- How will the SMCR apply in these different areas?
- What steps should you be taking now?
- Challenges of measuring & reporting on culture, governance and conduct risk
- Jonathan Greenwold General Counsel, Aspect Capital Limited
- Susannah Hammond Senior Regulatory Intelligence Expert, Thomson Reuters
- Michael Sholem Counsel, Davis Polk
- Louise Rodger Director, Compliance, AFME
Breakout option 4: Privacy, data protection and cyber security
- Data privacy: this is where you should be with your GDPR programs
- Cyber-resilience of the financial services industry
- GDPR as an opportunity and minimising risk
- Understanding the regulatory expectations: Accountability and governance
- PSD2: practical implications and breach reporting/notifications
- Yukiko Lorenzo Senior Counsel, Privacy and Data Protection, MasterCard
- Richard Middleton Managing Director, Co-Head of Policy Division, AFME
- Johanna Pimentel Sanchez Executive Director, EMEA Privacy Counsel, JPMorgan
- Robert Gillis Senior Legal Counsel: IP Technology and Data Protection, Citi
14:15
Break
14:45
Breakout options
A choice of one of the following options
Breakout option 5: Legal Landscape and potential risks: What is changing and why?
- Brexit
- International cooperation
- UK’s role as financial services centre of Europe
- Priorities and financial services strategy moving forward
- Post-Brexit outcomes
- Passporting
- International updates
- Flora Hamilton Head of Sector, Financial Services, CBI
- Ida Levine Director of European Public Affairs, Capital Group
- Catherine McGuinness Chairman of the Policy and Resources Committee, City of London Corporation
- Katy Hyams Senior Regulatory Counsel, LME Group
Breakout option 6: Competition and working with your Regulator
The intersection of competition and regulation:
- What to expect when being investigated
- The FCA use of competition powers
- Reconciling competing requirements from competition authorities and financial regulators
- EU, CMA, FCA and Payments and other sector regulators, plus other jurisdictions
How to run an internal investigation
- Review and interview
- Legal privilege
- criminal risk
- Working in a complex and regulated organisation
Practical tips
- Nicola Northway Partner, Baker & McKenzie
- Daniela Bowry-Blum Senior Specialist Counsel (Competition), Legal & Regulatory, Santander
- Sharon Horwitz Director, Sector Regulation, Competition and Markets Authority
- Carole Begent General Counsel and Head of Regulatory and Competition Enforcement, Payment Systems Regulator
15:45
Enforcement and financial crime
- Is the nature of enforcement changing?
- Enforcement priorities of the regulators
- Penalties for breach of Sanctions
- MLD4&5: Strengthening controls
- Whistleblowing
- Failure to prevent: what you should be doing now
- John Sheehan Deputy Chief Crown Prosecutor - Specialist Fraud Division, CPS
- Damian Bisseker Head of Litigation, EMEA, Credit Suisse
- Steve Smith Deputy Head of Financial Crime, EMEA, Financial Crime Compliance, Nomura International
- Andrew Ducker Principal Consultant, Hunstwood
- Jane Jee CEO, Kompli-Global Limited
16:45
Summary
High level summary to bring together key observations from throughout the day.
17:00
Drinks Reception
*Please note the agenda is subject to change
The page will be updated with further details on the agenda once they are confirmed.