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2nd Annual Culture and Conduct Forum for the Financial Services Industry
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Agenda

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    • Tuesday, July 12, 2016
    •  
      8:15 AM  -  9:10 AM
      Registration, networking and morning coffee
      9:10 AM  -  9:15 AM
      Chairman’s opening remarks
      Charles Mayo, Partner, Simmons & Simmons LLP
      Speaker Biogs:
       

      MORNING OPENING ADDRESSES

      9:15 AM  -  9:25 AM
      The importance of diversity in improving the culture of the FS industry
      Harriett Baldwin MP, Economic Secretary to the Treasury and City Minister
      Speaker Biogs:
      9:25 AM  -  9:45 AM
      Getting culture and conduct right - the role of the regulator
      Jonathan Davidson, Director of Supervision, Retail and Authorisations, and Member of the Executive Committee, The Financial Conduct Authority 
      Speaker Biogs:
      9:45 AM  -  10:05 AM
      The developing strategy of the Banking Standards Board and its work plan going forward
      Alison Cottrell, Chief Executive, Banking Standards Board
      Speaker Biogs:
       

      ROLE OF THE CHIEF EXECUTIVE AND BOARD OF DIRECTORS

      10:05 AM  -  10:25 AM
      The Chief Executive as cultural leader and ambassador
      Steven Cooper, CEO Personal Banking, Barclays UK
      Speaker Biogs:
      10:25 AM  -  11:10 AM
      Moving beyond regulation and compliance – the role of the board in relation to culture and conduct
      • Having a clear mission and strategy
      • Agreeing your value proposition and relationship with stakeholders
      • Taking ownership of your conduct responsibilities
      • Establishing a firm-wide conduct risk framework
      • Setting ethical standards and embedding them throughout the organisation
      • Establishing appropriate conduct metrics
      • Monitoring, reporting and communicating conduct risk
      • Creating channels through which staff can ‘speak up’ 

      Moderator:
      Jeannette Lichner, Senior Managing Director, FTI Consulting
      Panellists:
      James Bardrick, UK Country Officer, Citi 
      Francesca McDonagh, Head of Retail Banking and Wealth Management for Europe, HSBC 
      Steven Cooper, CEO, Personal Banking, Barclays UK 

      Speaker Biogs:
       

      Break

      11:10 AM  -  11:30 PM
      Networking and morning coffee
       

      OTHER KEY INPUTS INTO SHAPING CULTURAL AND BEHAVIOURAL NORMS

      11:30 AM  -  12:10 PM
      Structuring incentives and remuneration to produce positive behaviour

      Moderator:
      Lex Verweij, Partner, Head of UK & Europe, Aon

      Panellists:
      Randal Tajer, Global Head of Compensation & Benefits, Nomura
      Ian Fraser, Partner, Simmons & Simmons LLP
      Sarah Passmore, Director, People and Organisation Business, PwC

       

       

      Speaker Biogs:
      12:10 PM  -  12:50 PM
      How training and education can be utilised to reinforce a firm’s ethics and standards
      Moderator:
      Colin Morrison, Deputy Chief Executive and Director of Education, Chartered Banker Institute

      Panelists:
      Katie Ball, Acting Head of Professional Standards, Chartered Banker Professional Standards Board 
      Michael Roemer, Group Head of Compliance, Barclays 
      Dr. Javier Marcos, Senior Teaching Faculty, Director of Custom Programmes, Cambridge Judge Business School Executive Education  
       
      Speaker Biogs:
       

      Break

      12:50 PM  -  1:55 PM
      Lunch & networking
       

      AFTERNOON OPENING ADDRESSES

      1:55 PM  -  2:00 PM
      Chairman’s opening remarks
      Vicky Wickremeratne, Partner, Simmons & Simmons LLP
      Speaker Biogs:
      2:00 PM  -  2:25 PM
      Stewardship as a lever for cultural change
      Sir Win Bischoff, Chairman, JP Morgan Securities and Chairman, Financial Reporting Council
      Speaker Biogs:
      2:25 PM  -  2:50 PM
      The FICC Markets Standards Board progress in developing standards for the wholesale markets
      Elizabeth Corley, Vice Chair, Allianz Global Investors and Chair, FICC Markets Standards Board
      Speaker Biogs:
       

      PERFORMANCE MONITORING AND REVIEW OF CULTURAL CHANGE PROGRAMMES AND CONDUCT RISK

      2:50 PM  -  3:15 PM
      Use of internal risk assessment frameworks
      Sam Tymms, Managing Director, Promontory Financial Group 
       

      Break

      3:15 PM  -  3:35 PM
      Afternoon tea
       

      PERFORMANCE MONITORING AND REVIEW OF CULTURAL CHANGE PROGRAMMES AND CONDUCT RISK

      3:35 PM  -  4:10 PM
      How well is the Senior Managers Regime bedding down

      and what are the challenges of its roll-out across the rest of the FS industry

      Penny Miller, Partner, Simmons & Simmons LLP
      Andrea Finn, Partner, Simmons & Simmons LLP

      Speaker Biogs:
      4:10 PM  -  4:35 PM
      Practical approaches to understand, measure and embed risk culture
      Oliver Davidson, Senior Consultant, Willis Towers Watson
      Angela Paul, Senior Consultant and Research Lead, Willis Towers Watson
      Speaker Biogs:
       

      CRITICAL ISSUES IN ADDRESSING CULTURE AND CONDUCT

      4:35 PM  -  5:10 PM
      Panel discussion on critical issues
      • Importance of diversity to cultural balance
      • Consistency of culture for global/international institutions
      • Impact of innovation and competition
      • Regulation as a driver of cultural change
      • Relationship between law, regulation and ethics
      Moderator:
      Andrew Procter, Partner, Herbert Smith Freehills

      Panellists:
      Anthony Belchambers, Chairman, Saxo Capital Markets Limited 
      Mary O’Connor, Head of Financial Lines & Global Head of Financial Institutions Industry, Willis Towers Watson
      Sir Win Bischoff, Chairman, JP Morgan Securities and Chairman, Financial Reporting Council

      Speaker Biogs:
      5:15 PM  -  5:20 PM
      Chairman’s closing remarks & close of proceedings
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