Summit overview

It is imperative that compliance staff remain on top of the issues, debates and practicalities of ensuring senior managers and business processes remain compliant, due to the amount of consultations and regulations being published.

Recent problems in the financial markets will not sway the Financial Services Authority in its march towards more principles-based regulation. Compliance officers will have to bring a different skill set to their roles as a result of the shift from a purely rules-based approach. Companies must constantly improve their governance, risk management and compliance strategies to keep pace with new regulations and stakeholder expectations as the compliance risk landscape continually evolves.

In today's fast-paced environment, to establish and maintain compliance on a global level is an essential factor in all financial services. Institutions need to demonstrate that they can meet numerous regulatory changes from various supervisory bodies. The gap between regulatory changes and a firm’s ability to apply and implement new policies may lead to a compliance risk. To stay competitive, organisations will have to strengthen their value proposition by having an effective risk, control and compliance system and establishing greater assurance to stakeholders.

Main focus:

Integrating the scope of internal audit and business risk management to improve operational performances.
Applying a best-practice approach to help identify current and future states of risk.
Understand how you can effectively align your policies to ensure you are fully compliant in today’s fast-paced environment.
Network with leading financial figures and exchange ideas on current know-your-customer supervision and policy management issues.
Take away compliance best practices which you can implement straight into your compliance programme.

Who should attend and why

The summit is an opportunity for our community to share their experiences and perspectives and exchange ideas with leading international experts in the field. Hear directly from the FSA and compliance professionals alike on the latest issues affecting compliance management and discover how you can equip yourself with the knowledge required for the latest day-to-day challenges.

The summit will be useful for:

senior management
compliance officers
risk directors and managers
legal
MLROs
internal audit managers
operational risk
chief operating officers
regulatory lawyers