26th Nov 18 Complaints Handling London
Complaints Handling
Chairman
Matthew Whittaker
Fidelity

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Vulnerable customers
• Pricing complaints
• New SME eligibility criteria
• App scams
• GDPR
• Artificial intelligence
• FOS interaction
• Other issues

Click here for event summary (pdf)
 
14th Nov 18 Financial Crime London
Financial Crime Group (AM/IM/WM)
Chairman
Jamie Spring
KPMG

Guest Contributor
David Ferbrache
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Cyber Security
• Internal fraud training
• Beneficial ownership

Click here for event summary (pdf)
 
12th Nov 18 Private Wealth Management London
Private Wealth Management
Chairman
Mark de Ste Croix
Raymond James

Guest Contributor
Sarah Stephens
JLT Specialty

Melanie Ryan
Morgan Lewis

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FCA market abuse visits
• SMCR
• Cyber insurance
• Brexit
-- direct dialogue with European regulators
-- offshore enquiries
• Stock due diligence
• Berkley Burke judicial review
• Challenging FCA supervisory dialogue
• Social media policies
• Other issues

 
29th Oct 18 Complaints Handling Edinburgh
Complaints Handling
Chairman
Gareth Menton
Equiniti

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FCA Papers
• Vulnerable clients
• Artificial intelligence
• GDPR complaints
• FOS interaction

Click here for event summary (pdf)
 
24th Oct 18 The Cyber Club London
Cyber Club
Chairman
Keith Dewey
DataGRC

Guest Contributor
Sarah Stephens
JLT Group

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Recent News
-- BA breach
-- Tesco 2016 fine: was it a breach?
-- other breaches & fines
• Cyber-attack trends
• GDPR
-- general impact of GDPR
-- internal spear phishing
-- breach report frequency
-- other issues
• Data-loss risk assessments: due diligence
• Cyber insurance
• Cyber security: reporting to the board
• Brexit impact
• Cyber dashboards
• UK regulator: cloud interest
• Email
-- security
-- risk
-- encryption
• Other issues


 
17th Oct 18 Financial Crime London
Financial Crime Group (AM/IM/WM)
Chairman
Michael Harden
Henderson Rowe

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Sanctions
• SDD: data currency
• FCA: Recent PEP clarification
• Verifying clients' bank details
• Fraud


Click here for event summary (pdf)
 
15th Oct 18 Private Wealth Management London
Private Wealth Management
Chairman
Penny Rooney
Killik & Co

Guest Contributor
Melanie Ryan
Morgan Lewis

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FCA reviews
--MAR/STOR
--PA dealing
--value for money
• Brexit
• SMCR
• Product governance
• Other issues

Click here for event summary (pdf)
 
24th Sep 18 Complaints Handling London
Complaints Handling
Chairman
Matthew Whittaker
Fidelity

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FOS
• Complaints: price/premium increases
• GDPR
• POS: non-financial injustice update
• Complaints via third parties
• Vulnerability

Click here for event summary (pdf)
 
19th Sep 18 Financial Crime London
Financial Crime Group (AM/IM/WM)
Chairman
Jamie Spring
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Recent AML guidance & best practice
• FATF guidance
• AML policies for affiliates and funds
• Due diligence: non-clients
• Tracing


Click here for event summary (pdf)
 
17th Sep 18 Private Wealth Management London
Private Wealth Management
Chairman
Louise Stanway
Ruffer LLP

Guest Contributor
Sam Vardy
JLT Speciality

Melanie Ryan
Morgan Lewis


City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Costs & charges
• Brexit
• FCA investigations
• Robo-Advice
• GDPR

Click here for event summary (pdf)
 
20th Aug 18 Complaints Handling Edinburgh
Complaints Hamdling
Chairman
Michael Gregor
RBS

Guest Contributor
Natasha MacKinnon
The Samaritans

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

FEATURED TOPIC

“Vulnerable Customers and the Samaritans”
- a discussion led by Natasha MacKinnon, The Samaritans

OTHER TOPIC
• Post Office complaints


Click here for event summary (pdf)
 
10th Jul 18 Private Wealth Management London
Private Wealth Management
Chairman
Louise Stanway
Ruffer

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Suitability
• PoA and discretionary accounts
• ICAAP
• GDPR
• SMCR


Click here for event summary (pdf)
 
9th Jul 18 Complaints Handling London
Complaints Handling
Chairman
Adam Cooper
Equiniti Charter

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FPOC best practice
• Training and competence
• Customer vulnerability
• Measuring the customer-experience journey
• Complaint volumes
• FOS interaction
• GDPR
• Other points

Click here for event summary (pdf)
 
25th Jun 18 Complaints Handling Edinburgh
Complaints Handling
Chairman
Fiona Middlemiss
Alan Steel AM

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Materiality and financial loss
• FOS interaction
• GDPR
• Vulnerability
• Customer experience performance

Click here for event summary (pdf)
 
13th Jun 18 Financial Crime London
Financial Crime Group (AM/IM/WM)
Chairman
Jamie Spring
KPMG

Guest Contributor
Anna Maizite
KPMG

Barbara Marx
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

FEATURED TOPICS:
• Russian sanctions
• Suspicious activity reporting

OTHER TOPICS:
• Third-party EDD providers
• Preventing rejected clients opening accounts
• Current threats


Click here for event summary (pdf)
 
11th Jun 18 Private Wealth Management London
Private Wealth Management
Chairman
Edouard Bassil
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Monitoring & monitoring tools
• Annual compliance reports
• Suitability reports: advisory trading
• Requesting sample transaction reports from the FCA



Click here for event summary (pdf)
 
21st May 18 Complaints Handling London
Complaints Handling
Chairman
Adam Cooper
Equiniti Charter

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

FEATURED TOPIC

“Vulnerable Customers and the Samaritans”
- a discussion led by Ronnie Dennison, The Samaritans

OTHER TOPICS

• Materiality and financial Loss
• Quality assurance

Click here for event summary (pdf)
 
16th May 18 Financial Crime London
Financial Crime Group (AM/IM/WM)
Chairman
Jamie Spring
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Sanctions
• EDD third-party report reliability
• Fraud and vulnerable clients
• Other issues
• Next month’s featured topic

Click here for event summary (pdf)
 
14th May 18 Private Wealth Management London
Private Wealth Management
Chairman
Edouard Bassil
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

FEATURED TOPIC

"Rethinking the Compliance Function"
- a discussion led by Baringa Partners

OTHER TOPICS

• MiFID II
• GDPR
• Culture

Click here for event summary (pdf)
 
24th Apr 18 The Cyber Club London
Cyber Club
Chairman
Andy Waterhouse
RSA Security

Guest Contributor
Rashmi Knowles
RSA Security

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Current developments
• RSA conference update
• GDPR
--appointment of DPO criteria
--assessment questionnaires
--other issues
• Vulnerability management
• Biometrics
• CBEST and other security benchmarking services
• Cyber risk agencies
• Active defence
• Other topics

 
23rd Apr 18 Complaints Handling Edinburgh
Complaints Handling
Chairman
Adam Cooper
Equiniti Charter

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Vulnerable customers
• Logging complaints at FPOC
• Benchmarking customer experience
• GDPR impact
• FOS interaction
• Next meeting’s ‘feature topic’


Click here for event summary (pdf)
 
18th Apr 18 Financial Crime London
Financial Crime Group (AM/IM/WM)
Chairman
Jamie Spring
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Sanctions
• FCA visits
• Source of revenue
• Policies for bankers' cheques & drafts
• Current threats
• Other points

Click here for event summary (pdf)
 
16th Apr 18 Private Wealth Management London
Private Wealth Management
Chairman
Edouard Bassil
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
-- conflicts of interest
-- inducements
-- product governance and target market
• Market abuse: FCA visits
• Vulnerable clients
• Email & call monitoring
• GDPR
• Next meeting: feature topic

Click here for event summary (pdf)
 
19th Mar 18 Complaints Handling London
Complaints Handling
Chairman
Luke Gillat
Equiniti

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FOS Channel 4 investigation
• ‘GDPR: Impact on Complaints’ survey
• Vulnerable customers
• FCA complaint definition

Click here for event summary (pdf)
 
14th Mar 18 Financial Crime London
Financial Crime Group (AM/IM/WM)
Chairman
Anthony Brown
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Vulnerable clients
• Data analytics
• Sanctions
• Evidencing SOW/SOF
• Current threats


Click here for event summary (pdf)
 
12th Mar 18 Private Wealth Management London
Private Wealth Management
Chairman
Daryl Close
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• Cross-border issues
• Criminal & credit checks on employees
• PRIIPs
• Product governance
• Vulnerable clients


Click here for event summary (pdf)
 
26th Feb 18 Complaints Handling Edinburgh
Complaints Handling
Chairman
Adam Cooper
Equiniti Charter

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• GDPR: impact on complaints
• Vulnerable customers
• FOS interaction
• Front-line complaints resolution
• PSD2
• Complaints via NPS Surveys & Trustpilot



Click here for event summary (pdf)
 
21st Feb 18 Financial Crime London
Financial Crime Group (AM/IM/WM)
Chairman
Jamie Spring
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Onboarding
--PEP screening
--EDD and differing data-retention rules
--adverse media checks
--general points
• Platforms and suspicious transactions
• FCA multi-firm reviews
• Other points


Click here for event summary (pdf)
 
19th Feb 18 Private Wealth Management London
Private Wealth Management
Chairman
Simon Wilson
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
--valuation statements and suitability review requirements
--costs & charges: SCM dossier
--research controls
--inducements/hospitality
--showing performance on valuations
• EBA prudential regime proposal
• Vulnerable clients

Click here for event summary (pdf)
 
5th Feb 18 The Cyber Club London
Cyber Club
Chairman
Jonathan Gill
VP EMEA
RSA Security

Guest Contributor
Andy Waterhouse
Director
RSA Security

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Current threats
• GDPR
• 'Threat v risk' emphasis
• Artificial intelligence
• Vulnerability management

Click here for event summary (pdf)
 
29th Jan 18 Complaints Handling London
Complaints Handling
Chairman
Luke Gillat
Equiniti Charter

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FOS: Treasury sub-committee meeting
• GDPR
• Front-line complaints resolution
• Complaints via social media
• Vulnerable customers
• FOS and vulnerability
• Complaints return: FCA feedback

Click here for event summary (pdf)
 
16th Jan 18 Financial Crime London
Financial Crime Group (AM/IM/WM)
Chairman
Jamie Spring
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Fraud and vulnerable clients
• Paradise papers
• FCA visits
• Financial crime data return
• Priorities and risks in 2018

Click here for event summary (pdf)
 
15th Jan 18 Private Wealth Management London
Private Wealth Management
Chairman
Mark de Ste Croix
Raymond James

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• GDPR
• Vulnerable clients


Click here for event summary (pdf)
 
13th Dec 17 Financial Crime London
Financial Crime Group (AM/IM/WM)
Chairman
Anthony Brown
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Fraud & vulnerable clients
• AML
• Sanctions
• SOW/SOF
• Current threats
• 2018: looking ahead


Click here for event summary (pdf)
 
4th Dec 17 Complaints Handling Edinburgh
Complaints Handling
Chairman
Adam Cooper
Equiniti Charter

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• GDPR
• PSD2
• MiFID II
• FOS interaction


Click here for event summary (pdf)
 
27th Nov 17 Complaints Handling London
Complaints Handling
Chairman
Luke Gillatt
Equiniti Charter

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FOS interaction
• Root-cause analysis
• GDPR
• MiFID II
• Contextualisation
• Social Media

Click here for event summary (pdf)
 
20th Nov 17 The Cyber Club London
Cyber Club
Chairman
Jonathan Gill
RSA Security

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Active defence
• Cloud migration
• FCA & Cyber
• GDPR


Click here for event summary (pdf)
 
15th Nov 17 Financial Crime London
Financial Crime (AM/IM/WM)
Chairman
Jamie Spring
KPMG

Guest Contributor
David Burfoot
KPMG

Anthony Brown
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• The KPMG Fraud Barometer
• Client risk assessments
• De-risking
• MiFID II/Suitability/AML
• Criminal Finances Act
• Sharing intelligence
• Fraud prevention

Click here for event summary (pdf)
 
13th Nov 17 Private Wealth Management London
Private Wealth Management
Chairman
Fiona Palmer
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• GDPR
• Lasting power of attorney and DFM authority
• Reporting of conduct rule breaches
• PRIIPs

Click here for event summary (pdf)
 
30th Oct 17 Complaints Handling Edinburgh
Complaints Handling
Chairman
Adam Cooper
Equiniti

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FCA contextualisation
• PSD2
• MiFID II
• GDPR
• FOS interaction
• Root-cause analysis

Click here for event summary (pdf)
 
16th Oct 17 Private Wealth Management London
Private Wealth Management
Chairman
Ben Leighton
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• SMCR
• FCA thematic reviews
• GDPR

Click here for event summary (pdf)
 
2nd Oct 17 The Cyber Club London
Cyber Club
Chairman
Jonathan Gill
RSA Security

Guest Contributor
Gareth Pritchard
RSA Security

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

SOC MATURITY LEVELS
- a discussion led by Gareth Pritchard, RSA Security

OTHER TOPICS
• Equifax breach
• Deloitte breach
• SWIFT CSP attestation challenges
• GDPR


Click here for event summary (pdf)
 
25th Sep 17 Complaints Handling London
Complaints Handling
Chairman
Adam Cooper
Equiniti

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• PSD2 impact
• FOS Interaction
• Complaints team structures
• Social media complaints
• GDPR impact
• Root-cause analysis
• Complaint reports

Click here for event summary (pdf)
 
13th Sep 17 Financial Crime London
Financial Crime (AM/IM/WM)
Chairman
Jamie Spring
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Failure to prevent tax evasion
• Combining crime teams
• Data analytics
• Voice biometrics
• Country risk assessments
• Current threats
• General points


Click here for event summary (pdf)
 
11th Sep 17 Private Wealth Management London
Private Wealth Management
Chairman
Ben Leighton
Baringa Partners

City of London Club, 19 OLd Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• SMCR
• Conduct risk management
• FAMR
• Platform-market review

Click here for event summary (pdf)
 
4th Sep 17 The Cyber Club London
Cyber Club
Chairman
Jonathan Gill
VP EMEA
RSA Security

Guest Contributor
Duncan Brown
AVP, European Security Practice
IDC



City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

PART ONE

Security at the Speed of Business
-a presentation and discussion led by Duncan Brown, IDC

PART TWO

GDPR - A Deeper Dive

Click here for event summary (pdf)
 
21st Aug 17 Complaints Handling Edinburgh
Complaints Handling
Chairman
Adam Cooper
Equiniti

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FOS: London meeting feedback
• PSD2
• External reporting
• Materiality
• General points

Click here for event summary (pdf)
 
13th Jul 17 Financial Crime London
Financial Crime (AM/IM/WM)
Chairman
James Grant
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FCA AML questionnaire
• Supplier due diligence
• Proof of domicile
• AML transaction monitoring
• Current threats
• General points

Click here for event summary (pdf)
 
12th Jul 17 Private Wealth Management London
Private Wealth Management
Chairman
Chris Taylor
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• SMCR


Click here for event summary (pdf)
 
10th Jul 17 Complaints Handling London
Complaints Handling
Chairman
John Palman
Equiniti Charter

Guest Contributor
Caroline Mitchell
Financial Ombudsman Service

James Clements
Financial Ombudsman Service

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

FOS:THE NEW STRUCTURE
- a discussion with the Financial Ombudsman Service

Click here for event summary (pdf)
 
26th Jun 17 Complaints Handling Edinburgh
Complaints Handling
Chairman
John Palman
Equiniti Charter

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics
• PSD2
• Complaint policy reviews
• Regulator feedback
• FOS interaction
--new structure
--early consent approach
--D&I payments
--other points

Click here for event summary (pdf)
 
13th Jun 17 Financial Crime London
Financial Crime (AM/IM/WM)
Chairman
Jamie Spring
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• 4MLD
• Qatar
• Criminal Finances Act
• Current threats

Click here for event summary (pdf)
 
12th Jun 17 Private Wealth Management London
Private Wealth Management
Chairman
Emily Farrimond
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
- new product governance guidelines
- research
- suitability
• GDPR
• General points

Click here for event summary (pdf)
 
5th Jun 17 The Cyber Club London
Cyber Club
Chairman
Jonathan Gill
VP EMEA
RSA Security

Guest Contributor
Andy Waterhouse
Director
RSA Security

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Current threats/developments
• Cyber risk appetite
• GDPR
• Cyber risk ownership

Click here for event summary (pdf)
 
22nd May 17 Complaints Handling London
Complaints Handling
Chairman
John Palman
Equiniti

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Vulnerability
• Root-cause analysis
• FOS interaction
• GDPR
• Other points

Click here for event summary (pdf)
 
17th May 17 Financial Crime London
Financial Crime (AM/IM/WM)
Chairman
Jamie Spring
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• OPBAS
• GDPR
• Cybercrime
• Vulnerable clients
• Current threats

Click here for event summary (pdf)
 
15th May 17 Private Wealth Management London
Private Wealth Management
Chairman
Ben Reid
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• 4MLD
• GDPR
• Management/governance compliance MI
• FAMR: new FCA guidance


Click here for event summary (pdf)
 
24th Apr 17 Complaints Handling Edinburgh
Complaints Handling
Chairman
John Palman
Equiniti

Guest Contributor
Brian Fitzpatrick
GDPR Consultant
Equiniti

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Vulnerability
• PSD2: FCA Consultation
• Root cause analysis
• FOS interaction
• GDPR

Click here for event summary (pdf)
 
3rd Apr 17 The Cyber Club London
Cyber Club
Chairman
Jonathan Gill
VP EMEA
RSA Security

Guest Contributor
Rashmi Knowles
Chief Security Architect, EMEA
RSA Security

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• GDPR
• Cyber security strategies:
--measuring effectiveness
--reporting to the board
• Deception technologies
• Active cyber defence

Click here for event summary (pdf)
 
27th Mar 17 Complaints Handling London
Complaints Handling
Chairman
John Palman
Equiniti

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• PS17/3 - PPI guidance
• Complaints data publication
• Vulnerable clients
• FOS: new working practices
• GDPR
• Social media

Click here for event summary (pdf)
 
16th Mar 17 Financial Crime London
Financial Crime (AM/IM/WM)
Chairman
Jamie Spring
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• 4MLD
• GDPR
• Cybercrime
• Information sharing
• Current threats

Click here for event summary (pdf)
 
13th Mar 17 Private Wealth Management London
Private Wealth Management
Chairman
Sophia Fountoukidis
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• Definition of advice
• SMCR
• Vulnerable Clients
• GDPR

Click here for event summary (pdf)
 
6th Mar 17 The Cyber Club London
Cyber Club
Chairman
Jonathan Gill
VP EMEA
RSA Security

Guest Contributor
Rashmi Knowles
Chief Security Architect, EMEA
RSA Security

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• RSA Conference update
• Supply chain risk
• Translating compliance into security

Click here for event summary (pdf)
 
27th Feb 17 Complaints Handling Edinburgh
Complaints Handling
Chairman
John Palman
Equiniti

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Vulnerability
• PSD2
• FOS interaction

Click here for event summary (pdf)
 
15th Feb 17 Financial Crime London
Financial Crime (AM/IM/WM)
Chairman
Richard Lowe
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Russian sanctions
• Tax-evasion responsibilities
• KYC on-boarding systems
• Debit card fraud
• 4MLD
• GDPR
• FCA AML thematic visit
• Other issues


Click here for event summary (pdf)
 
13th Feb 17 Private Wealth Management London
Private Wealth Management
Chairman
Daniel Golding
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• GDPR
• Vulnerability
• MiFID II
• FCA AML Review


Click here for event summary (pdf)
 
6th Feb 17 The Cyber Club London
Cyber Club
Chairman
Jonathan Gill
VP EMEA
RSA Security

Guest Contributor
Rashmi Knowles
Chief Security Architect, EMEA
RSA Security


City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Gathering intelligence
--general points
--communicating news
--making predictions
• Building a SOC
• Training and awareness
• Defining risk appetite

Click here for event summary (pdf)
 
30th Jan 17 Complaints Handling London
Complaints Handling
Chairman
John Palman
Equiniti Charter

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Vulnerability
• SRC progress
• Expressions of dissatisfaction
• FCA complaints returns

Click here for event summary (pdf)
 
18th Jan 17 Financial Crime London
Financial Crime (AM/IM/WM)
Chairman
Jamie Spring
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Gathering intelligence
• FCA financial crime data request
• Insider threats
• Preparing for the Modern Slavery Act

Click here for event summary (pdf)
 
16th Jan 17 Private Wealth Management London
Private Wealth Management
Chairman
Paul Mihajlovic
Baringa Partners

Guest Contributor
Greg Pastore
Baringa Partners

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• AML: periodic review of non-HR/non-PEP clients
• Positive compliance incentives
• GDPR
• General points

Click here for event summary (pdf)
 
7th Dec 16 Financial Crime London
Financial Crime Group
Chairman
Richard Lowe
Senior Manager, Risk Consulting
KPMG

Guest Contributor
Phillip Ly
Manager, Risk Consulting
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Criminal Finances Bill/4MLD
• Risk rating countries
• Intelligence v information
• Current threats


Click here for event summary (pdf)
 
5th Dec 16 Complaints Handling Edinburgh
Complaints Handling
Chairman
John Palman
Equiniti Charter

Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• Vulnerability policies
• Reporting of reopened complaints
• MiFID II impact
• PSD2 impact
• Complaints oversight
• Other issues

Click here for event summary (pdf)
 
28th Nov 16 Complaints Handling London
Complaints Handling
Chairman
John Palman
Equiniti Charter

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• SRCs
• Materiality assessments
• Impact of new regulations
• GDPR/PSD2/MiFID II
• FOS interaction
• Vulnerability


Click here for event summary (pdf)
 
21st Nov 16 The Cyber Club London
The Cyber Club
Chairman
Mark Waghorne
Senior Manager, Cyber Security
KPMG

Guest Contributor
Rashmi Knowles
Chief Security Architect, EMEA
RSA Security

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• RSA conference update
• Cyber & fraud crossover
• Working with third parties
• Automated detection
• Insider threats
• Information sharing

Click here for event summary (pdf)
 
16th Nov 16 Financial Crime London
Finacial Crime Group
Chairman
Jamie Spring
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Preparing for the 4MLD
• FCA financial crime conference round up
• Trending financial crime news
• Other issues

Click here for event summary (pdf)
 
14th Nov 16 Private Wealth Management London
Private Wealth Management
Chairman
David FitzGerald
Director
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II investment research
• Updating KYC
• Client categorisation
• Performance dispersion
• Assessments of clients’ tax positions
• Data security
• General points

Click here for event summary (pdf)
 
24th Oct 16 Complaints Handling Edinburgh
Complaints Handling
Chairman
Brian Fitzpatrick
Equiniti

Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• London FOS meeting update
• Impact of new regulations:
-- MiFID II
-- GDPR
-- PSD 2
• Vulnerability
• Other issues


Click here for event summary (pdf)
 
17th Oct 16 Private Wealth Management London
Private Wealth Management
Chairman
David FitzGerald
Director
Baringa Partners

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• MiFID II
• Gifts & inducements
• SFTR
• PA dealing
• Vulnerable clients
• General points


Click here for event summary (pdf)
 
12th Oct 16 Financial Crime London
Financial Crime Group
Chairman
Jamie Spring
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• 4th Money Laundering Directive
• GDPR
• Data analytics
• Other issues


Click here for event summary (pdf)
 
3rd Oct 16 The Cyber Club London
The Cyber Club
Chairman
Paul Taylor
Partner
KPMG


Guest Contributor
Ruth Anderson
KPMG

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

PRESENTATION/DISCUSSION

"Security Testing – from basic traditional penetration testing to effective Red Team attack”

- led by Ruth Anderson, KPMG

OTHER TOPICS

• NIST standard
• Supply chain risk
• Risk & control assessments

Click here for event summary (pdf)
 
26th Sep 16 Complaints Handling London
Complaints Handling
Chairman
Brian Fitzpatrick
Equiniti

Guest Contributor
Caroline Mitchell
Lead Ombudsman
Financial Ombudsman Service

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

FOS UPDATE

A Discussion with the Financial Ombudsman Service



Click here for event summary (pdf)
 
14th Sep 16 Financial Crime London
Financial Crime Group
Chairman
Jamie Spring
KPMG

Guest Contributor
Phil Ly
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Sanctions screening
• 4th Money Laundering Directive
• FCA financial crime reporting
• GDPR
• Source of funds/wealth
• HMRC: proposed corporate tax-evasion responsibilities


Click here for event summary (pdf)
 
12th Sep 16 Private Wealth Management London
Private Wealth Management
Chairman
David FitzGerald
Baringa

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• Brexit
• PRIIPs
• FCA suitability review
• 4th money laundering directive
• HMRC in-specie pension contributions
• Other issues


Click here for event summary (pdf)
 
5th Sep 16 The Cyber Club London
The Cyber Club
Chairman
Mark Waghorne
Senior Manager, Cyber Security
KPMG

Guest Contributor
Andy Waterhouse
RSA Security

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

PRESENTATION/DISCUSSION

GDPR and Cyber Security Strategy
- led by Andy Waterhouse, RSA Security

OTHER TOPICS

• Threat intelligence
• Managing insider threats


Click here for event summary (pdf)
 
22nd Aug 16 Complaints Handling Edinburgh
Complaints Handling
Chairman
Michael Gregor
RBS

Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• Brexit
• PS15/19
• PSD 2 impact
• FOS interaction

Click here for event summary (pdf)
 
12th Jul 16 Financial Crime London
Financial Crime Group
Chairman
Nikhil Manek
KPMG

The London Capital Club, 15 Abchurch Lane, London, EC4N 7BW (map)
Discussion Topics

• Brexit
• Panama papers
• Cybercrime
• Due diligence

Click here for event summary (pdf)
 
11th Jul 16 Complaints Handling London
Complaints Handling
Chairman
Mark Rice
Equiniti Charter

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• PS15/19 implementation experiences
• PSD 2 - early thoughts
• FOS interaction
• Brexit


Click here for event summary (pdf)
 
4th Jul 16 Private Wealth Management London
Private Wealth Management
Chairman
Chris Taylor
Director
Baringa Partners

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• MiFID II
• PRIIPs
• FCA suitability review
• EC Benchmarks Regulation
• Brexit


Click here for event summary (pdf)
 
27th Jun 16 Complaints Handling Edinburgh
Complaints Handling
Chairman
Mark Rice
Equiniti Charter

Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• PS15/19
• PSD 2
• Ring fencing
• FOS interaction
• Brexit
• Other issues


Click here for event summary (pdf)
 
23rd May 16 Complaints Handling London
Complaints Handling
Chairman
Mark Rice
Equiniti Charter

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• SRCs
• Complaint definitions
• Interpretation of financial loss
• ADR/ODR
• FOS interaction
• Vulnerable customers


Click here for event summary (pdf)
 
16th May 16 Private Wealth Management London
Private Wealth Management
Chairman
Chris Taylor
Director
Baringa Partners

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• FCA inducements review
• AML: FCA reaction to Panama Papers
• Suitability
• MAR: investment recommendations
• MiFID II & PRIPs



Click here for event summary (pdf)
 
25th Apr 16 Complaints Handling Edinburgh
Complaints Handling
Chairman
Mark Rice
Equiniti Charter

Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• SRCs
• Complaint definitions
• DP16/01
• Accredited training
• Social media

Click here for event summary (pdf)
 
11th Apr 16 Private Wealth Management London
Private Wealth Management
Chairman
Chris Taylor
Director
Baringa Partners

Guest Contributor
Ben Leighton
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• Senior manager regime
• FAMR: definition of advice
• FCA business plan
• DP16/1 ageing population

Click here for event summary (pdf)
 
4th Apr 16 The Cyber Club London
The Cyber Club
Chairman
Bia Bedri
Partner
KPMG

Guest Contributor
Rashmi Knowles
Chief Security Architect, EMEA
RSA Security

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

PRESENTATION/DISCUSSION

Cloud: good practice
- a discussion led by Jano Bermudes, KPMG

OTHER TOPICS

• RSA Conference update
• National Cyber Security Centre
• User awareness: education & training
• Knowledge sharing
• Smishing
• DLP: inbound/outbound
• CBEST
• Issues raised by members

 
21st Mar 16 Complaints Handling London
Complaints Handling
Chairman
Mark Rice
Equiniti Charter

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• FOS Edinburgh meeting: feedback
• PS15/19
--SRCs
--complaint definitions
• DP16/01

Click here for event summary (pdf)
 
14th Mar 16 Private Wealth Management London
Private Wealth Management
Chairman
Chris Taylor
Director
Baringa Partners

Guest Contributor
David FitzGerald
Senior Manager
Baringa partners

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• MiFID II
• DB pension transfers
• Proof of death
• Conduct risk
• Brexit


Click here for event summary (pdf)
 
7th Mar 16 The Cyber Club London
The Cyber Club
Chairman
Richard Krishnan
Director
KPMG

Guest Contributor
Paul Kenealy
Cyber Threat Intelligence Leader
KPMG


The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

PRESENTATION/DISCUSSION

Cyber/Fraud Risk Management
- a discussion led by Paul Kenealy, KPMG

OTHER TOPICS

• Cloud security
• Senior manager regime
• Smishing
• User awareness


Click here for event summary (pdf)
 
29th Feb 16 Complaints Handling Edinburgh
Complaints Handling
Chairman
Mark Rice
Equiniti Charter

Guest Contributor
Caroline Mitchell
Lead Ombudsman
Financial Ombudsman Service

Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

Looking Ahead: A Discussion with the Financial Ombudsman Service

Click here for event summary (pdf)
 
8th Feb 16 Private Wealth Management London
Private Wealth Management
Chairman
Ben Leighton
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• MiFID II
• Market Abuse Directive
• Suitability: updating KYC
• Insistent clients
• Restricted dealing lists

Click here for event summary (pdf)
 
1st Feb 16 The Cyber Club London
The Cyber Club
Chairman
Richard Krishnan
Director
KPMG

Guest Contributor
Scott Bridgen
Governance & Risk Lead
RSA Security

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

PRESENTATION/DISCUSSION

2016 European Data Protection Regulation Impact
- led by Scott Bridgen, RSA Security

OTHER TOPICS

• Cloud
• CBEST
• Data Loss Protection

Click here for event summary (pdf)
 
25th Jan 16 Complaints Handling London
Complaints Handling
Chairman
Mark Rice
Equiniti Charter

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• PS15/19
• Certified complaint training
• Evidencing root cause analysis
• FOS interaction


Click here for event summary (pdf)
 
11th Jan 16 Private Wealth Management London
Private Wealth Management
Chairman
David FitzGerald
Senior Manager
Baringa Partners

Guest Contributor
Ben Leighton
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London, EC2N 1DS (map)
Discussion Topics

• MiFID II
• Dealing with client portfolios/assets on death
• Suitability for introduced clients
• General points


Click here for event summary (pdf)
 
23rd Nov 15 Complaints Handling London
Complaints Handling
Chairman
Mark Rice
Consultant
Equiniti

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Definition of materiality
• Responsibility for reporting third-party complaints
• Front-line complaint capture controls
• Communication channels
• Staff training
• Compensation authority
• Root cause analysis


Click here for event summary (pdf)
 
16th Nov 15 Private Wealth Management London
Private Wealth Management
Chairman
James Nicholls
Partner, Risk & Compliance
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• FAMR
• Cyber threats
• Complaints regulations
• Due diligence


Click here for event summary (pdf)
 
9th Nov 15 The Cyber Club London
The Cyber Club
Chairman
Bia Bedri
Partner
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Governance: joining the dots
• Linking fraud and cyber
• Cloud risk

Click here for event summary (pdf)
 
26th Oct 15 Complaints Handling Edinburgh
Complaints Handling
Chairman
Mark Rice
Equiniti

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FOS Q&A feedback and interaction
• FCA complaints policy statement
• Materiality
• Complaint logging
• Root-cause analysis

Click here for event summary (pdf)
 
21st Oct 15 Financial Crime London
Financial Crime
Chairman
Richard Lowe
Senior Manager
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• 4th MLD
• Sanctions
• Screening for PEPs
• Terrorist financing
• Cybercrime
• Property: CDD
• FCA visits
• Current threats
• Issues raised by members

 
19th Oct 15 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Independent Consultant

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• Social media: internal monitoring
• AML: investment account withdrawals
• Corporate hospitality
• General points


Click here for event summary (pdf)
 
12th Oct 15 The Cyber Club London
The Cyber Club
Chairman
George Quigley
Partner
KPMG

Guest Contributor
Rashmi Knowles
Chief Security Architect EMEA
RSA Security

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Cyber security awareness
• Communicating to the board
• Other issues


Click here for event summary (pdf)
 
28th Sep 15 Complaints Handling London
Complaints Handling
Chairman
Mark Rice
Equiniti

Guest Contributor
Caroline Mitchell
Lead Ombudsman
Financial Ombudsman Service

Adam Williams
Industry Oversight Manager
Financial Ombudsman Service

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

SECTION ONE:
Looking Ahead: A Discussion with the Financial Ombudsman Service

SECTION TWO:
General Discussion:
• FCA consultation
• Other issues raised by members

Click here for event summary (pdf)
Sponsors - Equiniti
 
23rd Sep 15 Financial Crime London
Financial Crime
Chairman
Ken Milliken
Associate Partner, Forensic
KPMG


The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• DD and intermediaries
• 4th Money Laundering Directive
• Whistleblowing
• Tax evasion
• Iran sanctions


Click here for event summary (pdf)
 
21st Sep 15 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Independent Consultant

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• Common reporting standard
• Conduct risk
• Offshore bond advice
• Discretionary service delivery via single funds
• Structured products


Click here for event summary (pdf)
 
14th Sep 15 The Cyber Club London
The Cyber Club
Chairman
Richard Krishnan
Director
KPMG

Guest Contributor
Rashmi Knowles
Chief Security Architect EMEA
RSA Security

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• CBEST
• Three lines of defence
• Risk controls
• Increases in DDOS attacks


Click here for event summary (pdf)
 
24th Aug 15 Complaints Handling Edinburgh
Complaints Handling
Chairman
Mark Rice
Equiniti

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FCA policy statement
• Complaint logging
• Social media
• Raising professional standards
• FOS interaction
• Root cause analysis


Click here for event summary (pdf)
Sponsors - Equiniti
 
16th Jul 15 Financial Crime London
Financial Crime
Chairman
Peter Kiernan
Head of Regulatory & Financial Crime Legal
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• EDD: Source of wealth/funds
• FCA AML review
• 4th EU money laundering directive
• Sanctions
• FATCA
• General threats


Click here for event summary (pdf)
 
15th Jul 15 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Grexit impact
• Culture: PRA & FEMR report
• Vulnerable clients
• DP15/5: Smarter consumer communications
• MiFID II
• Issues raised by members

 
13th Jul 15 Operational Risk London
Operational Risk
Chairman
Michael Haddon
Director
BDO LLP


The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Key people risk
• Grexit
• Operational risk v compliance

Click here for event summary (pdf)
 
29th Jun 15 Complaints Handling London
Complaints Handling
Chairman
Fiona De Antonis
Equiniti

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FCA consultation
• Complaint logging
• Customer communication trends
• FCA vulnerability paper
• Executive-level complaints
• FOS interaction


Click here for event summary (pdf)
Sponsors - Equiniti
 
25th Jun 15 Financial Crime London
Financial Crime
Chairman
Simon Dwyer
Director
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• 4th Money Laundering Directive
• FATCA
• EDD SOW/SOF
• Sharing Fraud data
• De-risking


Click here for event summary (pdf)
 
22nd Jun 15 Private Wealth Management London
Private Wealth Management
Chairman
Mark de Ste Croix
Raymond James

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• Suitability monitoring
• CASS breaches
• FCA interaction
• Insistent clients
• General points


Click here for event summary (pdf)
 
15th Jun 15 Operational Risk London
Operational Risk
Chairman
Michael Haddon
Director
Risk & Advisory
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

OPERATIONAL RISK SURVEY

• Responsibilities & Resourcing

OTHER TOPICS

• Conduct risk: broker research & soft commissions
• 2nd/3rd Line relationships & audit


Click here for event summary (pdf)
 
13th May 15 Complaints Handling Edinburgh
Complaints Handling
Chairman
Andrew Aldred
Equiniti

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FCA consultation
• Root-cause analysis
• Productivity expectations
• IDV requirements complaints



Click here for event summary (pdf)
Sponsors - Equiniti
 
28th Apr 15 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• FCA thematic reviews
• Compliance monitoring programmes
• Dealing with Canadian residents


Click here for event summary (pdf)
 
27th Apr 15 Complaints Handling London
Complaints Handling
Chairman
Simon Worboys
AIG

Guest Contributor
Andrew Aldred
Equiniti

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Consultation feedback
• Preparing for changes
• Regulators and root-cause analysis
• Dealing with vexatious complaints
• Customer data
• Social media


Click here for event summary (pdf)
Sponsors - Equiniti
 
23rd Apr 15 Compliance - Scotland Edinburgh
Scottish Compliance Group
Chairman
Peter Downie
McInroy & Wood

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FG15/1 guidance on retail investment advice
• FG15/4 guidance on social media & communications
• New pensions regime
• Common reporting standards & KYC
• Senior manager regime
• FCA interaction
• PRIPs
• MiFID II
• Issues raised by members

 
22nd Apr 15 Financial Crime London
Financial Crime
Chairman
Meena Marway
Rothschild

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• On-boarding: FCA expectations for KYC
• KYC kit for clients
• Cybercrime: staff responsibilities
• Financial crime: company culture
• Current threats & vulnerabilities


Click here for event summary (pdf)
 
21st Apr 15 Operational Risk London
Operational Risk
Chairman
Viv Pyne
Senior Manager
Risk & Advisory Services
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Framework: oversight of third parties
• Right-sizing risk teams
• Fraud and cybercrime risk


Click here for event summary (pdf)
 
20th Apr 15 The Cyber Club London
The Cyber Club
Chairman
Paul Taylor
Partner
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Cyber defence exercises
• CBEST
• Cross-sector threat responses
• Working with SMEs


Click here for event summary (pdf)
 
23rd Mar 15 Complaints Handling Edinburgh
Complaints Handling
Chairman
Andrew Aldred
Equiniti

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FCA consultation
• FOS interaction
• Social media communications
• Root-cause analysis


Click here for event summary (pdf)
Sponsors - Equiniti
 
18th Mar 15 Financial Crime London
Financial Crime
Chairman
Neal Dawson
UK Head of AML & Sanctions
KPMG

Guest Contributor
Alan Paterson
Managing Director
Plenitude

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Preparing for reviews
• Developing and using fraud scenarios
• Sectoral sanctions
• Managed services: crime risk
• Cybercrime
• Current threats

Click here for event summary (pdf)
 
16th Mar 15 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MiFID II
• Single-asset portfolios
• Pension transfers
• General topics


Click here for event summary (pdf)
 
11th Mar 15 Operational Risk London
Operational Risk
Chairman
Viv Pyne
Senior Manager, Risk & Advisory
BDO LLP


The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Conduct risk
• Scenarios
• Risk appetite statements
• Linking OR across an enterprise
• KRAs: OR reporting of different levels
• Op risk awareness, training and communications
• Issues raised by members


 
9th Mar 15 The Cyber Club London
The Cyber Club
Chairman
Stephen Bonner
Partner
KPMG

Guest Contributor
Rashmi Knowles
Chief Security Architect
RSA Security

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Risk appetite for cyber
• CBEST
• Practical consumption of intelligence
• Customer interaction
• Penetration testing


Click here for event summary (pdf)
 
23rd Feb 15 Complaints Handling London
Complaints Handling
Chairman
Andrew Aldred
Equiniti

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FCA thematic review & consultation
• Root-cause analysis


Click here for event summary (pdf)
Sponsors - Equiniti
 
18th Feb 15 Financial Crime London
Financial Crime
Chairman
Neal Dawson
UK Head of AML & Sanctions
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Financial crime risk assessments
-- AML, ABC, Fraud, Sanctions
• 4th ML directive
• FATCA reporting
• AML/KYC reliance on regulated counterparties
• FCA AML Reviews
• Cultural differences: head office vs. branches
• Managed services/outsourcing: crime risk
• Cybercrime
• Issues raised by members

 
16th Feb 15 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• SIPP providers: due diligence
• Pension changes: DB transfers
• Investment advice perimeter
• Single-asset portfolios
• MiFID II


Click here for event summary (pdf)
 
9th Feb 15 The Cyber Club London
The Cyber Club
Chairman
Stephen Bonner
Partner
KPMG

Guest Contributor
Rashmi Knowles
Chief Security Architect
RSA Security

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• 2015: anticipated threats
• 2015: regulatory landscape
• Third-party risk
• Threat assessments


Click here for event summary (pdf)
 
5th Feb 15 Compliance - Scotland Edinburgh
Scottish Compliance Group
Chairman
Lindsay Ballantyne
Executive Advisor
KPMG

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• PRIIPs
• MiFID II
• CASS review
• Monitoring for best outcomes
• Senior manager regime
• Other issues

Click here for event summary (pdf)
 
26th Jan 15 Complaints Handling Edinburgh
Complaints Handling
Chairman
Andrew Aldred
Equiniti

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FCA thematic review and CP14/30
• RCA best practice
• FOS interaction

Click here for event summary (pdf)
Sponsors - Equiniti
 
21st Jan 15 Financial Crime London
Financial Crime
Chairman
Rob Cutler
Director
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• PEP rating methodologies
• Regulator relations


Click here for event summary (pdf)
 
13th Jan 15 Operational Risk London
Operational Risk
Chairman
Alex Ellerton
Director
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• ICAAP modelling tools
• Awareness, training and competence
• Outsourced services
• Other issues


Click here for event summary (pdf)
 
17th Nov 14 Complaints Handling London
Complaints Handling
Chairman
Brian O'Kelly
Consultant
Aptean

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FCA thematic review
• Quality assurance
• Dealing with the FOS
• Trouble & upset awards


Click here for event summary (pdf)
Sponsors - Aptean
 
13th Nov 14 Social Media Group London
Social Media
Chairman
Bridget Greenwood
Head of UK Operations
Financial Social Media


City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FCA social media paper
• IMA response
• Social media programs and activities
• Issues raised by members


 
12th Nov 14 Financial Crime London
Financial Crime
Chairman
Rob Cutler
Director, AML Services
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• 4th Money Laundering Directive
• Russian sanctions
• PEPS: identity sources


Click here for event summary (pdf)
 
10th Nov 14 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• 4th Money Laundering Directive
• Data Protection Directive II
• MiFID II
• ELTIFs
• Conduct risk
• CoCos consultation
• Other issues


Click here for event summary (pdf)
 
5th Nov 14 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• External audit of frameworks
• BoE payments system shutdown
• Outsourcing/third party risks
• Business process mapping
• Managing regulatory relationships

Click here for event summary (pdf)
 
3rd Nov 14 The Cyber Club London
The Cyber Club
Chairman
Stephen Bonner
Partner
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Cyber security: changing perceptions
• Psyche of attackers
• CBEST
• Cyber insurance
• 2014: lessons learned
• 2015: looking ahead


Click here for event summary (pdf)
 
28th Oct 14 Compliance - Scotland Edinburgh
Compliance
Chairman
Jamie Thomas
Royal London


The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• MiFID II
• CASS review
• UCITS V
• Senior manager regime
• FATCA


Click here for event summary (pdf)
 
27th Oct 14 Complaints Handling Edinburgh
Complaints Handling
Chairman
Bruce Webster
Consultant
Aptean

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FCA thematic review
• Root cause analysis
• Compensation
• FCA complaints data
• CMCs
• FOS interaction
• EU complaints
• Social media


Click here for event summary (pdf)
Sponsors - Aptean
 
15th Oct 14 Financial Crime London
Financial Crime
Chairman
Louise Thompson
Director, Risk Consulting
KPMG

Guest Contributor
Leeanne Grassnick
Senior Manager
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FATCA
• ABC: third-party due diligence
• Russian sanctions
• NEDs as PEPs
• AML: documentation standards
• General activities


Click here for event summary (pdf)
 
13th Oct 14 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FCA themes
• Discretionary business in other jurisdictions
• Suitability
• MiFID II – charge illustrations
• New senior managers regime




Click here for event summary (pdf)
 
8th Oct 14 Operational Risk London
Operational Risk
Chairman
Viv Pyne
Senior Manager, Risk & Advisory
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Regulatory risk
• Changes to risk frameworks
• Crime/ABC/AML: OR responsibilities
• Risk appetite
• Geopolitical risk

Click here for event summary (pdf)
 
6th Oct 14 The Cyber Club London
The Cyber Club
Chairman
Stephen Bonner
Partner
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

FIRST SESSION

Case Study:

"Social Engineering" - a discussion led by Barclays Plc


SECOND SESSION

CBEST - a discussion led by the Bank of England



 
15th Sep 14 Complaints Handling London
Complaints Handling
Chairman
David Ward
Product Manager
Aptean

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FOS interaction
• Third-party referrals
• Overseeing complaints handling abroad
• FCA thematic review
• General points


Click here for event summary (pdf)
Sponsors - Aptean
 
10th Sep 14 Financial Crime London
Financial Crime
Chairman
Simon Mansell
Director
KPMG

Guest Contributor
Olivia Allison
Head of Russia/CIS Desk
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Russian/Ukrainian sanctions
• Screening tools
• Transaction monitoring
• Segregation of duties
• Cyber security

Click here for event summary (pdf)
 
8th Sep 14 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Client categorisation
• Suitability
• Inducements
• Geopolitical impact
• Social media
• Senior manager regime
• FCA activity
• MiFID II


Click here for event summary (pdf)
 
3rd Sep 14 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Interacting with three lines of defence
• Model/spreadsheet risk
• Geopolitical risk
• Cyber risk

Click here for event summary (pdf)
 
1st Sep 14 The Cyber Club London
The Cyber Club
Chairman
Richard Krishnan
Director
KPMG

Guest Contributor
Rashmi Knowles
Chief Security Architect
RSA Security

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• CBEST/Intelligence-led penetration testing
• The human firewall
• Benchmarking
• Other issues


Click here for event summary (pdf)
 
19th Aug 14 Compliance - Scotland Edinburgh
Compliance
Chairman
Leon Harrower
Aberdeen AM

The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• Immigration Act
• Loan-to income ratios
• FCA/PRA consultation: senior manager regime
• FCA social media paper
• MiFID II: post CP/DP analysis
• AIFMD
• FCA paper: dealing commission
• General issues

Click here for event summary (pdf)
 
18th Aug 14 Complaints Handling Edinburgh
Complaints Handling
Chairman
Eric Brown
Consultant
Aptean

The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• FOS issues
• Compensation levels
• Root cause analysis
• Use of tablets


Click here for event summary (pdf)
Sponsors - Aptean
 
15th Jul 14 Financial Crime London
Financial Crime
Chairman
Rob Gordon
Director
Grant Thornton

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Simplified due diligence
• Periodic reviews
• Electronic checks
• Electronic vs hardcopy records
• Verifying source of wealth


Click here for event summary (pdf)
 
14th Jul 14 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Cyber risks survey
• Outsourcing due diligence
• Measuring change risk
• Conduct risk: operational risk impact

Click here for event summary (pdf)
 
8th Jul 14 Private Wealth Management London
Private Wealth Management
Chairman
Claire Paisley
Partner
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• RDR review: specific disclosures
• FCA interaction
• Source of wealth/due diligence
• Suitability
• Inducements
• MiFID II
• General points

Click here for event summary (pdf)
 
24th Jun 14 Compliance - Scotland Edinburgh
Compliance
Chairman
Genevieve Humphreys
Senior Manager
PwC

The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• TR14/7 Clarity of fund charges
• PRIIPs
• Immigration Act
• Payments Council transfer to FCA
• PS14/7 dealing commission changes
• Pensions reform
• CASS


Click here for event summary (pdf)
 
23rd Jun 14 Complaints Handling London
Complaints Handling
Chairman
David Ward
Product Manager
Aptean

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Quality checking
• FOS issues
• PPI
• Resolving complaints at first point of contact
• Changes to advisor reporting
• Executive complaints & social media


Click here for event summary (pdf)
 
17th Jun 14 Financial Crime London
Financial Crime
Chairman
Rob Gordon
Director
Grant Thornton

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Whistleblowing
• Internal employee fraud
• Scams/cloned websites/cyber
• ID verification checks
• Signatories
• Due diligence


Click here for event summary (pdf)
 
16th Jun 14 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• RCSA
• Cyber risk and data protection

Click here for event summary (pdf)
 
12th Jun 14 Asset Management London
Asset Management
Chairman
Anne Stopford
Director
Grant Thornton

Offices of Aberdeen AM, Bow Bells House, 1 Bread Street, London EC4M 9HH (map)
Discussion Topics

• FCA thematic reviews
• EMIR
• Inducements
• AIFMD
• Monitoring voice mail


Click here for event summary (pdf)
 
9th Jun 14 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager
Baringa

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• CRD IV
• RDR
• RDR charges assessment forms
• FATCA
• WMA update
-- MiFID
-- PRIIPS
• Complaints
• Suitability

Click here for event summary (pdf)
 
2nd Jun 14 The Cyber Club London
The Cyber Club
Chairman
Bia Bedri
Director
KPMG

Guest Contributor
Rashmi Knowles
Chief Security Architect
RSA Security

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Threat intelligence
• Taxonomy
• Benchmarking



Click here for event summary (pdf)
 
28th May 14 Complaints Handling Edinburgh
Complaints Handling
Chairman
Eric Brown
Consultant
Aptean

The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• Letter writing
• FOS issues
• Quality checking

Click here for event summary (pdf)
Sponsors - Aptean
 
20th May 14 Financial Crime London
Financial Crime
Chairman
Charlie Patrick
Director
KPMG

Guest Contributor
Alun Milford
General Counsel
Serious Fraud Office


The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Serious Fraud Office
-- Bribery Act
-- Deferred prosecution agreements
• Third-Party introducers
• Cybercrime
• Recent frauds & trends
• AML


Click here for event summary (pdf)
 
19th May 14 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Ethics (survey results discussion)
• Loss/gain reporting
• Culture & HR management
• FCA interaction


Click here for event summary (pdf)
 
14th May 14 The Cyber Club London
The Cyber Club
Chairman
Bia Bedri
Director
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Cyber threats: dealing with the board
• Intelligence-driven security



Click here for event summary (pdf)
 
12th May 14 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• EMIR
• Specialist fund market
• FCA feedback/interaction
• Suitability
• House views: formal processes



Click here for event summary (pdf)
 
8th May 14 Asset Management London
Asset Management
Chairman
Jan Parker
Director, Financial Services Advisory
Grant Thornton

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Compliance testing programmes
• FCA Business Plan and Risk Outlook
• Fees & charges for asset managers
• ICAAP
• Distributor relationships
• Best execution and transition management


Click here for event summary (pdf)
 
29th Apr 14 Compliance - Scotland Edinburgh
Compliance
Chairman
Genevieve Humphreys
Senior Manager
PwC

The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• Cyber risk
• Behavioural economics
• Pensions reform

Click here for event summary (pdf)
 
28th Apr 14 Complaints Handling London
Complaints Handling
Chairman
John Howard
Independent Consultant

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FCA thematic review
• Consistency in compensation payments – D&I
• Dealing with the FOS
• Letter writing
• Executive-level complaints


Click here for event summary (pdf)
Sponsors - Aptean
 
23rd Apr 14 Financial Crime London
Financial Crime
Chairman
Mark Stollery
Partner
PA Consulting

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• PEPs
• FATCA
• Financial crime risk assessments
• Current / emerging frauds & trends


Click here for event summary (pdf)
 
22nd Apr 14 Operational Risk London
Operational Risk
Chairman
Alex Ellerton
Director
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics
Horizon Risks Survey

• Horizon risks – IT risk
• Horizon risks – regulatory change

Other Topics

• Enforced leave
• Risk resourcing
• Risk culture

Click here for event summary (pdf)
 
14th Apr 14 Private Wealth Management London
Private Wealth Management
Chairman
Claire Paisley
Partner
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• RDR thematic review feedback
• Conduct risk
• Culture
• Waiver for KID - transparency to clients
• Vulnerable client matrix
• Re-assessing suitability
• AML due diligence


Click here for event summary (pdf)
 
7th Apr 14 The Cyber Club London
The Cyber Club
Chairman
Stephen Bonner
Partner
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Third-party due diligence
• Cloud
• Mobiles/mobility issues
• EU data protection regulations
• Cyber threats: board support


Click here for event summary (pdf)
 
3rd Apr 14 General Interest London
FSDC Forum: CRD IV Reporting
Chairman
Jason McCreight
Director
Deloitte

London Capital Club, 15 Abchurch Lane, London EC4N 7BW (map)
Discussion Topics

• General progress and issues
• XBRL delivery
• Regulator engagement
• Test-bed activity

 
27th Mar 14 Social Media Group London
Social Media
Chairman
Lance Concannon
Head of Digital
Hudson Sandler

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Social media: legal & regulatory risk
• Why consumers follow brands
• Social media engagement campaigns
-- case studies
-- integrating social platforms
• Events
-- promotion on social
-- social during an event
-- customer engagement
• Issues raised by members

 
25th Mar 14 Compliance - Scotland Edinburgh
Compliance
Chairman
Caroline Macefield
Senior Manager
PwC

The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• 2014 Budget impact: pensions reform
• Upcoming platforms rules
• European regulations: overview
• Gifts & entertainment: FCA guidance
• Conduct risk


Click here for event summary (pdf)
 
24th Mar 14 Complaints Handling Edinburgh
Complaints Handling
Chairman
Caroline Macefield
Senior Manager
PwC

The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• Voice of the customer
• Customer surveys
• FOS issues
• Compensation payments / interest rates
• Monitoring complaint volumes
• MI
• RCA


Click here for event summary (pdf)
 
18th Mar 14 Financial Crime London
Financial Crime
Chairman
Asesh Sarkar
Managing Consultant
PA Consulting

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Is SDD dead?
• Managing KYC check
• Electronic verification
• PEPs / Sanctions tools
• Fraud monitoring service
• Cybercrime: current threats
• Current fraud and trends


Click here for event summary (pdf)
 
17th Mar 14 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Oversight of third parties
• Regulatory outlook
• Risk appetite


Click here for event summary (pdf)
 
13th Mar 14 Asset Management London
Asset Management
Chairman
Julian Bartlett
Partner
Grant Thornton

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• MNPI: controlling flow
• Surveillance
• Conduct risk
• Best execution
• Outsource provider oversight


Click here for event summary (pdf)
 
10th Mar 14 Private Wealth Management London
Private Wealth Management
Chairman
Mark de Ste Croix
Head of Compliance & Legal
Raymond James

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Training & competency
• SPS issues
• NMPIs
• Suitability / FOS interaction
• ACDs
• FCA review: sales incentives
• Conduct risk


Click here for event summary (pdf)
 
3rd Mar 14 The Cyber Club London
The Cyber Club
Chairman
Stephen Bonner
Partner
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Monitoring & logging
• Coordinating & communicating during an incident
• Educating customers


Click here for event summary (pdf)
 
25th Feb 14 Compliance - Scotland Edinburgh
Compliance
Chairman
Caroline Macefield
Senior Manager
PwC

The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• Product governance
• Corporate access
• Inducements
• Annuities
• CASS


Click here for event summary (pdf)
 
24th Feb 14 Complaints Handling London
Complaints Handling
Chairman
Geoff Rae
Senior Consultant
Huntswood

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Root cause analysis
• FOS Issues
• FCA thematic review
• DISP rules
• Complaint volumes
• IFA redress


Click here for event summary (pdf)
 
18th Feb 14 Financial Crime London
Financial Crime
Chairman
Mark Stollery
Principal Consultant
PA Consulating

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Verification of source of wealth
• ABC
• Reliance letters
• Third-party due diligence
• Current fraud and trends



Click here for event summary (pdf)
 
17th Feb 14 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Culture
• Regulatory outlook
- interaction with supervisors
- deep dives
• Staffing and resources
• Operational risk: remit & accountability


Click here for event summary (pdf)
 
13th Feb 14 Asset Management London
Asset Management
Chairman
Julian Bartlett
Partner
Grant Thornton

The Offices of Falcon MM, 60 Great Tower Street, London EC3R 5AD (map)
Discussion Topics

• EMIR
• AIFMD
• FATCA
• Control reporting
• Warehousing
• Email surveillance


Click here for event summary (pdf)
 
12th Feb 14 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• RDR
• FCA activity
• Market abuse
• PEP registers
• EU regulatory outlook:
-- PRIIPS
-- CRD IV reporting
-- EMIR
• Suitability


Click here for event summary (pdf)
 
3rd Feb 14 The Cyber Club London
The Cyber Club
Chairman
Stephen Bonner
Partner
KPMG

Guest Contributor
Rashmi Knowles
Chief Security Architect, EMEA
RSA Security

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Data classification
• Cyber kill chain methodology
• Budgets/resources

Click here for event summary (pdf)
 
30th Jan 14 Social Media Group London
Social Media
Chairman
Bridget Greenwood
Head of UK Operations
Financial Social Media

Guest Contributor
Simon Ryan
Consultant
Social Advisors

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

Social Media & Financial Advisors
-a discussion with Simon Ryan, Social Advisors

Other Topics
• B2B issues
• Dealing with regulators
• Dealing with complaints
• Training & education
• New ideas & content
• Issues raised by members


 
28th Jan 14 Compliance - Scotland Edinburgh
Compliance
Chairman
Genevieve Humphreys
Senior Manager
PricewaterhouseCoopers

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Inducements
• Product governance
• The compliance function
-- resourcing
-- systems & tools
• Scottish independence


Click here for event summary (pdf)
 
27th Jan 14 Complaints Handling Edinburgh
Complaints Handling
Chairman
Caroline Macefield
Senior Manager
PricewaterhouseCoopers

The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics

• Complaints handling thematic review
• FOS issues
• Publication of complaints MI: contextualisation
• Root cause analysis
• Issues raised by members

 
23rd Jan 14 General Interest London
FSDC Forum: CRD IV Reporting
Chairman
Christian Hagman
Partner
Deloitte LLP

London Capital Club, 15 Abchurch Lane, London EC4N 7BW (map)
Discussion Topics

• Dealing with the regulator
• Data attestation
• Reporting mechanisms
• Asset encumbrance
• Parallel liquidity reporting
• Development of internal platforms

Click here for event summary (pdf)
 
21st Jan 14 Financial Crime London
Financial Crime
Chairman
Mark Stollery
Principal Consultant
PA Consulting

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FATCA
• Transaction monitoring
• Current frauds and trends



Click here for event summary (pdf)
 
20th Jan 14 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Risk committee reports
• Cybercrime
• Interplay between risk & compliance
• 2014 regulatory outlook

Click here for event summary (pdf)
 
13th Jan 14 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• AML
• FCA activity
• Performance fees
• FATCA
• Surveys
• Elective professional clients

Click here for event summary (pdf)
 
6th Jan 14 The Cyber Club London
The Cyber Club Launch Meeting
Chairman
Stephen Bonner
Partner
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Configuring the human firewall
• Cyber breach stress testing
• Privacy
• Security consequences of change

Click here for event summary (pdf)
Sponsors - KPMG & RSA
 
10th Dec 13 General Interest London
Conduct Risk Workshop
Chairman
David Vallery
Director
KPMG

Andaz Hotel, 40 Liverpool St, London, EC2M 7QN (map)
Discussion Topics

Conduct Risk: Developing Action Plans for Better Customer Outcomes

-- a workshop for risk, compliance and business functions:

Topic Areas:
• Governance
• Culture
• MI
• Risk appetite / tolerance: impact on outcomes
• Risk identification
• Remuneration
• Building frameworks

Sponsors - EMC & KPMG
 
5th Dec 13 General Interest London
FSDC Forum: CRD IV Reporting
Chairman
Ian Harrison
Partner
Deloitte LLP

London Capital Club, 15 Abchurch Lane, London EC4N 7BW (map)
Discussion Topics

• Dealing with the regulator
-- clarity of requirements
-- responding to challenges
• Data attestation
-- processes & controls
-- managing data
-- roles & responsibilities
• Reporting mechanisms
-- XBRL challenges
-- internal processes
-- ensuring compliance


 
25th Nov 13 Complaints Handling London
Complaints Handling
Chairman
Stephen Atkins
Senior Associate
RFS Group

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Complaints handling automation: pros and cons
• FCA thematic review
• FOS decisions
• Retention periods v FOS expectations
• Conduct risk: complaints handling
• Segregation of complaints
• Publication of adjudications (FOS decisions)
• Pensions liberation: suspicious transfers

Click here for event summary (pdf)
 
20th Nov 13 Asset Management London
Asset Management
Chairman
Julian Bartlett
Partner
Grant Thornton

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Conflicts of interest (FCA conference)
• Culture
• Conduct risk
• Incident/error/breach reporting
• EMIR


Click here for event summary (pdf)
 
19th Nov 13 Financial Crime London
Financial Crime
Chairman
David Coolegem
Senior Consultant
PA Consulting

The City of London, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• ABC due diligence: FCA paper
• High-risk jurisdictions/entities
• Client signatories: AML/KYC policies
• Luxembourg AML regulation
• Current frauds and trends


Click here for event summary (pdf)
 
18th Nov 13 Operational Risk London
Operational Risk
Chairman
Alex Ellerton
Director
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

FSDC SURVEY

• Incident reporting

OTHER TOPICS

• Risk scenarios
• Risk of dual regulation


Click here for event summary (pdf)
 
11th Nov 13 Private Wealth Management London
Private Wealth Management
Chairman
Claire Paisley
Partner
Baringa Partners

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• RDR
• FCA engagement
• AIFMD
• FATCA
• FCA: thematic reviews & surveys
• Suitability


Click here for event summary (pdf)
 
7th Nov 13 Compliance - Scotland Edinburgh
Compliance
Chairman
Genevieve Humphreys
Senior Manager
PricewaterhouseCoopers

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FCA AM Focus
• AIFMD
• FATCA
• Conduct risk
• Fact sheets
• FCA focus: behavioural economics
• Product governance and FCA expectations
• Issues raised by members

 
28th Oct 13 Complaints Handling Edinburgh
Complaints Handling
Chairman
Leigh Milligan
Royal Bank of Scotland

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Capturing expressions of dissatisfaction
• FOS decisions
-- fraudulent transactions
-- general points
• Social media tracking
• FCA thematic review: complaints procedures
• Oversight of third parties
• Conduct risk: complaints handling
• Complaint handling SLAs
• Complaint letter templates
• General points



Click here for event summary (pdf)
Sponsors - Aptean
 
24th Oct 13 Social Media Group London
Social Media
Chairman
Bridget Greenwood
Head of UK Operations
Financial Social Media

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

Social Media and Culture

• Training
• Responsibilities
• Communication
• Dealing with partners/third parties
• Hiring policies
• B2B - professional relationships on LinkedIn
• Issues raised by members

 
15th Oct 13 Financial Crime London
Financial Crime
Chairman
David Coolegem
Senior Consultant
PA Consulting

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• ABC due diligence: M&A
• Sanctions screening
• FATF guidance: PEP monitoring
• Financial crime risk assessment frameworks
• Luxembourg AML requirements
• Future threats


Click here for event summary (pdf)
 
14th Oct 13 Operational Risk London
Operational Risk
Chairman
Alex Ellerton
Director
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Identifying emerging risks
• Operational risk systems
• Product approval process
• Conduct risk
• Embedding risk culture
• Consistent risk assurance mapping
• Embedding risk culture


Click here for event summary (pdf)
 
10th Oct 13 General Interest London
FSDC PANEL: MANAGING CONDUCT RISK
Chairman
David Vallery
Director
KPMG

Guest Contributor
Alison Verlander
Head of Policy & Standards
RBS

Tay Incekara
Head of Compliance
Artisan Partners

Andaz Hotel (1901 entrance), 40 Liverpool St, London, EC2M 7QN (map)
Discussion Topics

• Running conduct risk programmes
-- scope; ownership; administration

• Building conduct risk frameworks
­-- governance; risk appetite; risk policies
­-- business processes; procedures
­-- conduct risk profiles
­-- control testing and assurance
­-- management information and reporting
­-- culture; staff behaviour; rewards

• Working with third-party suppliers and distributors
­-- reliance; monitoring; integrated reviews; information flow

• International aspects
­-- overseas parents; UK conduct agenda / frameworks in overseas jurisdictions

• FCA interest & engagement
­-- product pricing; justifying pricing
­-- business models; strategy analysis
­-- current thematic areas

• Assurance processes: outcome testing

Click here for event summary (pdf)
Sponsors - KPMG & RSA
 
7th Oct 13 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Independent Consultant

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• RDR
• Suitability: annual reviews
• Conduct risk frameworks
• TCF: MI flows
• Investment research
• AIFMD


Click here for event summary (pdf)
 
26th Sep 13 Social Media Group London
Social Media
Chairman
Bridget Greenwood
Head of UK Operations
Financial Social Media

Guest Contributor
Steven Miyao
CEO
Kasina

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

‘Building a Competitive Social Media Competency – Examples from the US’

- a discussion with Steve Miyao, CEO, Kasina


Click here for event summary (pdf)
 
24th Sep 13 Compliance - Scotland Edinburgh
Compliance
Chairman
Peter Downie
Compliance Officer
McInroy & Wood


The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Conduct risk
• FCA/PRA update
• AIFMD
• FATCA
• General topics


Click here for event summary (pdf)
 
23rd Sep 13 Complaints Handling London
Complaints Handling
Chairman
Stephen Atkins
Senior Associate
RFS Group

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Achieving consistency
• FCA thematic review: complaints procedures
• Capturing expressions of dissatisfaction
• Oversight of third parties
• PPI complaints
• Vexatious complainants
• Social media tracking


Click here for event summary (pdf)
Sponsors - Aptean
 
16th Sep 13 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Incident reporting
• Risk culture
• Conduct risk


Click here for event summary (pdf)
 
12th Sep 13 Asset Management London
Asset Management
Chairman
Scott Soper
Independent Consultant

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• AIFMD
• Conduct Risk
• Client Money
• Remuneration
• RDR


Click here for event summary (pdf)
 
9th Sep 13 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Independent Consultant

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Cass review
• RDR thematic review
• Suitability
• CIPs
• Sub-scale funds
• Inducements
• Timely execution & deal aggregation


Click here for event summary (pdf)
 
20th Aug 13 Compliance - Scotland Edinburgh
Compliance
Chairman
Genevieve Humphreys
Senior Manager
PricewaterhouseCoopers

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• AIFMD
• CASS review
• RDR thematic review
• Product suitability & governance
• FCA cultural outlook


Click here for event summary (pdf)
 
19th Aug 13 Complaints Handling Edinburgh
Complaints Handling
Chairman
Mark Chambers
Head of Product Consulting
Aptean

Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Root-cause reporting
• Close-of-business complaints:
• FCA interest rates / Section 75 complaints
• Social media: FCA expectations
• FOS publication
• Complaints targets


Click here for event summary (pdf)
Sponsors - Aptean
 
16th Jul 13 Financial Crime London
Financial Crime
Chairman
Nic Carrington
Partner
Deloitte

Guest Contributor
Jelle Niemantsverdriet
Assistant Director
Cyber Incident Response Team
Deloitte


Deloitte's Offices, Hill House, 1 Little New Street, London EC4A 3TR (map)
Discussion Topics

SPECIAL FOCUS - CYBERCRIME

-- a discussion led by Jelle Niemantsverdriet, Deloitte

OTHER TOPICS

• EFG fine
• Frauds & trends


Click here for event summary (pdf)
 
15th Jul 13 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

Guest Contributor
Edward Sankey
Institute of Operational Risk

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• KRI survey
• KRI alert levels
• FCA engagement
• Impact of budget reductions


Click here for event summary (pdf)
 
11th Jul 13 Compliance - Scotland Edinburgh
Compliance
Chairman
Sharon Shaw
Director, Risk Assurance
PricewaterhouseCoopers

The Balmoral Hotel, Princes Street, Edinburgh Eh2 2EQ (map)
Discussion Topics

• Transition to the FCA/PRA
• Due diligence: third-party brokers
• Training & competency
• General points


Click here for event summary (pdf)
 
8th Jul 13 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Suitability
• CIPs
• FCA update
• UCIS
• Training & competency
• Approved persons
• Transaction reporting

Click here for event summary (pdf)
 
27th Jun 13 Social Media Group London
Social Media Group
Chairman
Bridget Greenwood
Head of UK Operations
Financial Social Media

Guest Contributor
Jelle Niemantsverdriet
Assistant Director
Cyber Incident Response Team
Deloitte

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

DISCUSSION

Cybercrime

- led by Jelle Niemantsverdriet, Cyber Incident Response Team, Deloitte

OTHER TOPICS

• Global strategies for social media
• Complaints handling via social media
• Misuse of personal accounts
• Brand guidance - social media links on marketing materials
• Issues raised by members

 
24th Jun 13 Complaints Handling London
Complaints Handling
Chairman
John Howard
Independent Consultant

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Transition to the FCA
• FOS issues
• Consumer Insurance (Disclosure & Representations) Act 2012
• Social media
• PPI-style complaints
• Website accessibility


Click here for event summary (pdf)
Sponsors - Aptean
 
20th Jun 13 General Interest London
Insurance Workshop 2013
Andaz Hotel, 40 Liverpool Street, London EC2M 7QN (map) Discussion Topics

“Risk & Regulatory Compliance: More Effective Governance”

-- developing new approaches to working in a complex regulatory environment

A workshop for risk, compliance and audit professionals:

• Compliance assurance and tracking (including Solvency II)
• Monitoring the business impact of regulatory change
• Compliance: using a risk-based approach
• Using risk management to predict the impact of regulatory change
• Running risk & compliance programs across the enterprise
• Changing data into information for decision-making




Sponsors - RSA & Deloitte
 
18th Jun 13 Financial Crime London
Financial Crime
Chairman
Nic Carrington
Partner
Deloitte

Guest Contributor
Julian Colborne-Baber
Partner
Deloitte

Deloitte's Offices, 10th Floor, 2 New Street Square, London EC4A 3BZ (map)
Discussion Topics

• Risk assessments
• Account fraud
• Electronic verification
• Sanctions


Click here for event summary (pdf)
 
17th Jun 13 Operational Risk London
Operational Risk
Chairman
David Morrey
Partner
BDO LLP

Guest Contributor
Edward Sankey
Independent Consultant

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

OPERATIONAL RISK SCENARIO

New Product Approval Process

OTHER TOPICS

• Embedding risk into a firm's culture
• FCA visits

Click here for event summary (pdf)
 
10th Jun 13 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)
Discussion Topics

• Suitability
• Risk profiling
• UCIS
• FCA update
• Unbreakable deposits
• Introducer fees
• Presentation of past performance figures


Click here for event summary (pdf)
 
4th Jun 13 Complaints Handling Edinburgh
Complaints Handling
Chairman
Will Furnaux
Management Consultant
PA Consulting

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Publication of FOS data
• FOS issues
• Benchmarking surveys
• Complainant feedback
• IFA compensation rates
• Complaints volumes


Click here for event summary (pdf)
Sponsors - Aptean
 
3rd Jun 13 Compliance - Scotland Edinburgh
Compliance
Chairman
Sharon Shaw
Director, Risk Assurance
PricewaterhouseCoopers

The Balmoral Hotel, Princes Street Edinburgh EH2 2EQ (map)
Discussion Topics

• Financial promotions
-- ICOB changes for packaged bank accounts
-- social media compliance
• Transition to FCA/PRA
• Suitability
• RDR
• FATCA
• Consultancy charging ban
• Practical applications of FCA's behavioural economics material
• Training & competency policies
• Mobile banking apps
• Issues raised by members

 
15th May 13 Operational Risk London
Operational Risk
Chairman
Edward Sankey
The Institute of Operational Risk


City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics
OPERATIONAL RISK SCENARIO

“Dealing with an Internal Whistle-Blower Report of a Suspected Staff Fraud


OTHER TOPICS:

• Recording /Reporting Risk Events with Unclear Financial Losses
• Risk Appetite



Click here for event summary (pdf)
 
13th May 13 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)
Discussion Topics

• UCIS
• Suitability
• Transition to the FCA
• RDR


Click here for event summary (pdf)
 
25th Apr 13 Social Media Group London
Social Media Group
Chairman
Bridget Greenwood
Head of UK Operations
Financial Social Media

Guest Contributor
Lee Bolger
Enterprise Social Marketing Executive
Google

Google's Offices, Belgrave House, 76 Buckingham Palace Road, London SW1W 9TQ (map)
Discussion Topics
PART ONE: PRESENTATION

"Social Strategy - Best Practice for Financial Services"

- a presentation from Google UK - Lee Bolger

PART TWO: DISCUSSION TOPICS

• New SEC guidance
• General issues




Click here for event summary (pdf)
 
23rd Apr 13 Compliance - Scotland Edinburgh
Compliance
Chairman
Sean Harkin
Senior Manager
PricewaterhouseCoopers

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Transition to FCA/PRA
• Product development
• Conduct risk strategies
• Mystery shopping
• Outsourcing
• Conflicts of interest
• RDR


Click here for event summary (pdf)
 
22nd Apr 13 Complaints Handling London
Complaints Handling
Chairman
John Howard
Independent Consultant

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Publication of FOS data
• Transition to the FCA
• Social media
• Late payment interest
• Complaints dealt with by intermediaries


Click here for event summary (pdf)
Sponsors - Aptean
 
18th Apr 13 General Interest London
Insurance Panel 2013
Chairman
Stephen Lucas
Partner - Risk and Regulation
Deloitte

Grange Hotel St. Pauls, 10 Godliman Street, London, EC4V 5AJ (map)
Discussion Topics

Solvency II & Twin Peaks Regulation

• Information integrity
• Managing changing risk profiles
• Third party risk
• Business resilience risk
• Moving from ICA to ICA to Solvency II modelling
• PRA expectations: ICAS
• EIOPA expectations:
-- bringing forward Solvency II risk management, governance and reporting
• Effective governance
• Model governance
• Distribution of roles across functions


Sponsors - RSA & Deloitte
 
15th Apr 13 Operational Risk London
Operational Risk
Chairman
Stephen Gould
Senior Manager, Risk & Regulation
Deloitte

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Product risk
• Strategic risk
• Conduct risk


Click here for event summary (pdf)
 
8th Apr 13 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)
Discussion Topics

• Suitability
• FOS
-- decisions
-- publication
• FCA new regime
• RDR
• TCF


Click here for event summary (pdf)
 
25th Mar 13 Complaints Handling Edinburgh
Complaints Handling
Chairman
Will Furnaux
Management Consultant
PA Consulting

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Turn-around times
• FOS
--case fees
--published decisions
• Road to the FCA
• Finacial advisers: multiple complaints
• Issues raised by members

Sponsors - Aptean
 
19th Mar 13 Financial Crime London
Financial Crime
Chairman
Nic Carrington
Partner - Head of Investigations
Deloitte

Guest Contributor
Julian Colborne-Baber
Partner
Deloitte

Deloitte's Offices, 1st Floor, 2 New Street Square, London EC4A 3BZ (map)
Discussion Topics

PRESENTATION

'Lessons learnt from recent US enforcement actions on sanctions and AML' - a presentation by Deloitte


OTHER TOPICS

• Sanctions
• Customer records from a business acquisition
• Action Fraud: reporting


Click here for event summary (pdf)
Sponsors - Deloitte
 
18th Mar 13 Operational Risk London
Operational Risk
Chairman
Stephen Lucas
Partner, Risk & Regulation
Deloitte

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Using external loss data
• RCSA: best practice
• KRIs: linking to risk appetite
• Training operational risk staff


Click here for event summary (pdf)
 
11th Mar 13 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)
Discussion Topics

• Change of control issues
• FSA RDR review
• Suitability
• Transition to the FCA


Click here for event summary (pdf)
 
28th Feb 13 Social Media Group London
Social Media Group
Chairman
Lance Concannon
Head of Digital
Harvard Public Relations

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Social media policies
• Hacking
• Customer services
• Intellectual property
• Leakages
• General points


Click here for event summary (pdf)
 
26th Feb 13 Compliance - Scotland Edinburgh
Compliance
Chairman
Will Furneaux
Consultant
PA Consulting

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Outsourcing
• Conflicts of interest
• RDR
• Advice: FSA mystery shopping review
• CP13/6: change in FSA approach
• Product intervention: FCA approach


Click here for event summary (pdf)
 
25th Feb 13 Complaints Handling London
Complaints Handling
Chairman
John Howard
Independent Consultant

Guest Contributor
David Ward
Aptean

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FOS issues
­-- inconsistencies
­-- overturn rates
• Complaints via social media
• Letter writing
• RDR


Click here for event summary (pdf)
Sponsors - Aptean
 
19th Feb 13 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Guest Contributor
Paul Mewett
Head of Internet Intelligence
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

• Anti-bribery & corruption
• Social media monitoring
• Email Hacking
• AML
• VIP programmes
• Current frauds & trends

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
18th Feb 13 Operational Risk London
Operational Risk
Chairman
Stephen Lucas
Partner, Risk and Regulation
Deloitte

Guest Contributor
Edward Sankey
Institute of Operational Risk

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Embedding risk culture
• Governance risk
• Compliance risk: impact of remote locations
• Arrow feedback


Click here for event summary (pdf)
 
11th Feb 13 Private Wealth Management London
Private Wealth Management
Chairman
Marcus Swales
Partner
Grant Thornton

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Outsourcing
• Suitability
• RDR
• UCIS
• KIDs
• AIFMD
• Compliance monitoring programmes

Click here for event summary (pdf)
 
31st Jan 13 Social Media Group London
Social Media - Communications & Compliance
Chairman
Bridget Greenwood
Head of UK Operations
Financial Social Media

Guest Contributor
Daniel Jason
Head of Social Media
Peregrine Communications

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

PRESENTATION

"Social Media: Business to Business"

- Daniel Jason, Peregrine Communications

MAIN MEETING

• Monitoring
• YouTube
• Complaints
• Disclaimers on Twitter
• General points


Click here for event summary (pdf)
 
28th Jan 13 Complaints Handling Edinburgh
Complaints Handling
Chairman
Leigh Milligan
Royal Bank of Scotland

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FOS issues
• Quality assurance
• Root cause analysis
• Letter-writing
• Email correspondence
• General issues


Click here for event summary (pdf)
Sponsors - Aptean
 
22nd Jan 13 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

PRESENTATION

"2012/2013 Update"

- a presentation and discussion
with Andy Fyfe, City of London Police

GENERAL DISCUSSION

• social media monitoring
• Issues raised by members

Sponsors - Grant Thornton
 
14th Jan 13 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)
Discussion Topics

• Dear CEO letters
-- conflicts of interest
-- outsourcing
• RDR
-- qualifications
-- independent v. restricted
-- other
• AIFMD
• TCF

Click here for event summary (pdf)
 
12th Dec 12 Ireland Dublin
Irish Complaints Handling Group
Chairman
John Clinton
Senior Manager, Advisory Services Team
Ernst & Young

Guest Contributor
William Prasifka
Financial Services Ombudsman

Tom Comerford
Deputy Financial Services Ombudsman

Clarion Hotel, IFSC, Excise Walk, Dublin 1
Discussion Topics

FIRST SECTION

A Discussion with the Financial Services Ombudsman

- with William Prasifka

SECOND SECTION

General Discussion

Sponsors - Aptean
 
29th Nov 12 Social Media Group London
Social Media - Communications & Compliance
Chairman
Bridget Greenwood
Head of UK Operations
Financial Social Media

Guest Contributor
Lance Concannon
Head of Digital
Harvard Public Relations

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• General points
• Training & internal communications
• Complaints via Twitter


Click here for event summary (pdf)
 
27th Nov 12 Compliance - Scotland Edinburgh
Compliance
The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map) Discussion Topics

• RDR
• FCA/PRA developments
• Outsourcing
• Financial promotions
• AIFMD
• Client assets
• Conflicts of interest: Dear CEO letter
• FSA expectations: final notice to Savoy AM
• Issues raised by members

 
26th Nov 12 Complaints Handling London
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

Guest Contributor
Nicholas Ross
Senior Consultant
Huntswood

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

PRESENTATION

‘Current issues in complaints handling: insights into best practice’
-- a presentation with Nicholas Ross, Senior Consultant, Huntswood

MAIN MEETING

• Complaints categories and emerging areas
• Letter writing
• Email correspondence
• Late payment calculations
• Complaints feedback from distributors
• PPI: wider contact exercises


Click here for event summary (pdf)
Sponsors - Huntswood & Aptean
 
20th Nov 12 Financial Crime London
Financial Crime
Chairman
Richard Walbach
Clearconcepts

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

• Trade finance
• PEPS and sanctions screening
• Country risk assessments
• Current frauds & trends


Click here for event summary (pdf)
Sponsors - Grant Thotnton
 
19th Nov 12 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP


City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Risk modelling
• Holistic risk & control management
• Data governance


Click here for event summary (pdf)
 
12th Nov 12 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Suitability
• UCIS
• RDR
• Conflicts of interest letter


Click here for event summary (pdf)
 
31st Oct 12 Social Media Group London
Social Media - Communications & Compliance
Chairman
Bridget Greenwood,Head of UK Operations, Financial Social Media

Guest Contributor
Geoff Cantello, Regional Director, Lithium

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

PRESENTATION:
Digital Customer Engagement - a presentation by Lithium

MEETING:
• Twitter feeds across social media platforms
• Measurement tools
• PR and social media in search engine optimisation
• Monitoring
• Risk detection and auditing
• Assigning roles to mitigate risk
• Issues raised by members


Click here for event summary (pdf)
 
30th Oct 12 Compliance - Scotland Edinburgh
Compliance
Chairman
Tim Kirk
Partner
BDO LLP

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• RDR
• FSA: outsourcing focus
• FCA/PRA update
• FATCA
• CASS paper
• PRIPs/MiFID II
• Short selling
• FSA quarterly consultation – Absolute return funds
• Social media
• AML measures
• Issues raised by members

 
29th Oct 12 Complaints Handling Edinburgh
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Root cause analysis
• Social media
• One-stage process: quality assurance
• FOS issues
• Freedom of Information Act
• ATM disputes
• Letters of authority
• Re-opening complaints
• FOS published decisions


Click here for event summary (pdf)
Sponsors - Huntswood & Aptean
 
24th Oct 12 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

• FSA financial crime newsletter
• Reporting to the board
• PEPs
• Payment screening
• Sanctions
• Current frauds & trends


Click here for event summary (pdf)
Sponsors - Grant Thotnton
 
15th Oct 12 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• ARROW visit feedback
• Oversight roles: three lines of defence
• Data governance


Click here for event summary (pdf)
 
8th Oct 12 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)
Discussion Topics

• RDR
• UCIS
• Suitability
• FATCA
• FCA/PRA


Click here for event summary (pdf)
 
1st Oct 12 RDR Group London
RDR
Chairman
Neil Walkling
RDR Specialist
Ernst & Young

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

RDR: 'Preparing for Launch' Meeting

Other Topics:
• Fees & charging structures
-- fee structures for DFM to introducers
-- disclosure documents
-- discretionary IMA's
• RMAR
-- additional FSA reporting requirements
• Topics raised by members


 
27th Sep 12 Social Media Group London
Social Media - Communications & Compliance
Chairman
Bridget Greenwood
Head of UK Operations
Financial Social Media

Guest Contributor
Ian Robin
Hootsuite

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

PRESENTATION & DISCUSSION

"Managing the Social Enterprise"
- Ian Robin, Hootsuite

(White paper available on link below)

Click here for event summary (pdf)
 
24th Sep 12 Complaints Handling London
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• FOS complaints data
• PPI: time-barring
• Redress: financial offers
• Publishing of complaints data
• CMR annual report
• Other issues


Click here for event summary (pdf)
Sponsors - Huntswood & Aptean
 
20th Sep 12 Compliance - Scotland Edinburgh
Compliance
Chairman
Tim Kirk
Partner
BDO LLP

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FATCA
• CASS paper
• FSCS funding review
• Remuneration structures
• Suitability
• Social media


Click here for event summary (pdf)
 
17th Sep 12 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Stress testing
• Risk appetite
• Emerging risks

Click here for event summary (pdf)
 
11th Sep 12 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Guest Contributor
Manu Sharma
Senior Manager
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

SPECIAL FOCUS: FRAUD RISKS - DATA SECURITY

Contributions from:

• Grant Thornton
• Investec

GENERAL TOPICS

• Information and IT Security
• Third-Party Assurance
• AML: ID Certification
• Corporate Hospitality
• New Frauds


Click here for event summary (pdf)
Sponsors - Grant Thotnton
 
10th Sep 12 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)
Discussion Topics

• RDR
• Suitability
• Sales incentives - guidance paper
• FATCA


Click here for event summary (pdf)
 
6th Sep 12 Asset Management London
Asset Management
Chairman
Julian Bartlett
Partner
Grant Thornton

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• Risk appetite
• FSA thematic review: outsourcing - areas of focus & concern
• Client money
• FATCA
• Eurozone planning
• AIFMD & risk management
• FCA supervision - transition
• Issues raised by members

 
21st Aug 12 Compliance - Scotland Edinburgh
Compliance
Chairman
Tim Kirk
Partner
BDO LLP

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FSA to FCA/PRA: transition
• PRIPs
• UCITS IV
• Social Media
• RDR

Click here for event summary (pdf)
 
20th Aug 12 Complaints Handling Edinburgh
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Root cause analysis
• One-stage process
• Quality checking
• PPI & CMCs


Click here for event summary (pdf)
Sponsors - Huntswood & Aptean
 
19th Jul 12 Social Media Group London
Social Media Group
Chairman
Justin Hunt, CEO, Social Media Leadership Forum

Guest Contributor
Bridget Greenwood, Head of UK Operations, Financial Social Media

Ashley Hurst, Partner, Olswang LLP


Tower 42, 25 Old Broad Street, London, EC2N 1HQ (map)
Discussion Topics

PRESENTATIONS

“Crisis Management: The Role of Social Media”
- an overview by Ashley Hurst, Olswang LLP



MEETING TOPICS

• US experiences
• General points

Click here for event summary (pdf)
 
17th Jul 12 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

• The Bribery Act: a retrospective
• FSA Guidance: Banks’ defence against investment fraud
• ARROW visits
• PEPs
• Current frauds & trends


Click here for event summary (pdf)
Sponsors - Grant Thornton
 
16th Jul 12 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

RISK REPORTING MEETING

"Board Packs: Less is More"
-- a presentation by member firms

GENERAL DISCUSSION

• Skilled Persons Report (Section 166s)

Click here for event summary (pdf)
 
9th Jul 12 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)
Discussion Topics

• Centralised investment portfolios
• Suitability
• Appropriateness
• RDR
• Mobile phone recording
• High-risk relationships
• ICO Cookie Directive
• FATCA


Click here for event summary (pdf)
 
28th Jun 12 Social Media Group London
Social Media Group
Chairman
Bridget Greenwood
Head of UK Operations
Financial Social Media

Tower 42, 25 Old Broad Street, London EC2N 1HQ
Discussion Topics

LIVE CASE STUDY

NatWest 'Glitch'


MAIN MEETING

• LinkedIn: danger of being compromised
• Education/training
• Social media policies update
• US FS sector successes
• Getting buy-in & engagement
• Content presentation ideas
• Setting up a Social presence: rights and wrongs
• Regulatory compliance: a marketing perspective
• Issues raised by members

Click here for event summary (pdf)
 
26th Jun 12 Compliance - Scotland Edinburgh
Compliance
Chairman
Andrew Murray
Senior Manager, Regulatory Risk
Scottish Widows

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• RDR
• FSA guidance on past performance
• General topics
• Social media: crisis management


Click here for event summary (pdf)
 
25th Jun 12 Complaints Handling London
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• Root cause analysis
• PPI
• FCA & PRA impact
• Social media


Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software
 
21st Jun 12 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Guest Contributor
Danny Maylin
Manager
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

PRESENTATION

“FATCA Overview: Operational Impact & Changes to KYC Processes”
- a presentation by Danny Maylin, Grant Thornton

DISCUSSION TOPICS

• FATCA presentation
• Bribery & corruption
• Fourth Money-Laundering Directive
• Current frauds & future threats


Click here for event summary (pdf)
Sponsors - Grant Thornton
 
18th Jun 12 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

RISK MODELLING MEETING

"Operational Risk Modelling: an approach combining data and scenarios"

- presentation by Fidelity


OTHER TOPICS

• Quantification
• Horizon risks
• Fraud risk
• Eurozone
• Frameworks: global consistency
• CRD IV
• KRIs
• Preparation for Solvency II
• Outsourcing oversight
• Issues raised by members

 
14th Jun 12 Asset Management London
Asset Management
Chairman
Julian Bartlett
Partner
Grant Thornton

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Suitability
• FCA/PRA
• AIFMD
• RDR
• FATCA
• Issues raised by members


 
29th May 12 Compliance - Scotland Edinburgh
Compliance
Chairman
Fiona Middlemiss
Director of Risk & Compliance
Alan Steel AM

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• MiFID II
• RDR legacy commission
• ICO Cookie Directive
• Changing approach to regulation
• Mortgage Market Review
• FSA Retail Conduct Risk paper
• Financial promotions




Click here for event summary (pdf)
 
28th May 12 Complaints Handling Edinburgh
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

Guest Contributor
Michael Hill
Founder
complaintsaregreat

The Balmoral Hotel, Pribces Street, Edinburgh EH2 3EQ (map)
Discussion Topics

PRESENTATION

Complaint Management: Best Practice & Bad Examples
-- a discussion with Michael Hill – complaintsrgreat.com

MAIN DISCUSSION

• Social media
• One-stage process
• Compensation: cash v vouchers
• Best Practice: CCA section 75 issues
• Monitoring outsourced complaints


Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software
 
24th May 12 Social Media Group London
Social Media - Risk, Regulation & Compliance
Chairman
Michael Stannard
Head of Internet Investigations
Grant Thornton

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

PART ONE - SOCIAL MEDIA POLICIES

- presentations from members:


PART TWO - OTHER TOPICS


• Issues raised by members

Click here for event summary (pdf)
 
24th May 12 Social Media Group London
Social Media - Marketing & Communications
Chairman
Bridget Greenwood
Head of UK Operations
Financial Social Media

Guest Contributor
Andrew Carrier
Deputy Managing Director
Cognito

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

PART ONE - DELEGATE-LED DISCUSSION

• General points
• Live example: Deutsche Bank
• Social attribution
• Social engagement
• Creating content
• Best practice


PART TWO - PRESENTATION Q&A

"Social Media in the Finance Industry:
What Works; What Doesn't"

- a presentation by Andrew Carrier, Deputy Managing Director, Cognito




Click here for event summary (pdf)
 
17th May 12 RDR Group London
RDR
Chairman
Neil Walkling
RDR Specialist
Ernst & Young

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Review of recently published papers
• Platforms paper on intermediate unit holders: fund literature
requirements
• Advisory portfolio management services: application of ongoing advice
• Legacy assets: GPP transfer commission post RDR
• Issues raised by members


 
15th May 12 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

• FSA Anti-Bribery Review of Investment Banks: producing MI
• Financial crime guide
• Direct debit indemnity rules
• Data privacy & EU proposed legislative changes
• New issues

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
14th May 12 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

RISK APPETITE MEETING

'Risk Appetite: Limit Setting and Responding to Breaches'

Presentation – Q&A

• AllianceBernstein

Other Topics

• Risk strategy
• Measuring risk culture
• Fraud & money laundering
• Management of emerging/horizon risks
• Issues raised by members



 
1st May 12 Private Wealth Management London
Private Wealth Management
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

PRESENTATION

'Financial Crime Update'
- a discussion led by Sterl Greenhalgh, Grant Thornton

MAIN MEETING

• Bribery Act
• Bearer shares
• Financial crime: emerging threats
• Suitability review
• RDR

Click here for event summary (pdf)
 
26th Apr 12 Social Media Group London
Social Media - Risk, Regulation & Compliance
Chairman
Michael Stannard
Head of Internet Investigations
Grant Thornton

Guest Contributor
Conor Ward
Partner
Hogan Lovells

Ben Regnard Weinrabe
Partner
Hogan Lovells

Paul Mewett
Head of Internal Investigations
Grant Thornton

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

PRESENTATIONS

'Social Media: Legal Pitfalls'

- Conor Ward and Ben Regnard Weinrabe, Hogan Lovells

'Monitoring Social Media'

- Paul Mewett, Grant Thornton

MEETING TOPICS

• Current issues
• T & Cs
• Social media as a new delivery channel
• Security & reputational risk
• Reasons for failure in social media
• Recruitment
• Policies & education
• General points

Click here for event summary (pdf)
 
26th Apr 12 Social Media Group London
Social Media - Marketing & Communications
Chairman
James Whatley
Senior Associate Director, Digital
Ogilvy PR

Guest Contributor
Lance Concannon
Digital Lead
Text 100

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

PRESENTATIONS

'Social: A View from Ogilvy'

- James Whatley, Ogilvy PR

'Social Channels: Best Practice & Live Examples'

- Lance Concannon, Text 100

MEETING TOPICS

• Planning, set up & training
• Twitter
• Employee accounts
• Dealing with negatives
• Monitoring & measurement
• General points


Click here for event summary (pdf)
 
23rd Apr 12 Complaints Handling London
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• Complaint handlers: training & competence
• Monitoring outsourced complaints
• CMC activity
• IFA compensation
• FSA complaint reporting data
• Customer communications methods


Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software
 
17th Apr 12 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

• Coutts fine
• ID verification for high-risk clients
• Bribery & corruption
• Iranian Sanctions
• Social media crime
• German market: fund verification
• Current crime trends


Click here for event summary (pdf)
Sponsors - Grant Thornton
 
16th Apr 12 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Inherent & residual risks
• Control frameworks
• Three lines of defence: definitions
• Olympics


Click here for event summary (pdf)
 
2nd Apr 12 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• FATCA
• Dodd Frank
• Risk profiling and suitability review
• Coutts’ fine
• FSA Retail Conduct Risk Outlook paper
• FCA

Click here for event summary (pdf)
 
29th Mar 12 Social Media Group London
Social Media - Marketing & Communications
Chairman
Phil Sherrell
Partner
Bird & Bird

Guest Contributor
Danae Silvey
Industry Manager - Finance
Google UK

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics
PRESENTATION

Social Media in Marketing – A View from Google UK

- presentation and Q&A session with Danae Silvey

MAIN MEETING

• Ideas
• Live example: using the contact centre
• Content sharing & positioning
• Engaging the board
• Handling complaints
• Live example:managing complaints
• General points

Click here for event summary (pdf)
 
29th Mar 12 Social Media Group London
Social Media - Risk, Regulation & Compliance
Chairman
Michael Stannard
Head of Internet Investigations
Grant Thornton

Guest Contributor
Phil Sherrell
Partner
Bird & Bird

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics
PRESENTATION

Brand Use (and Misuse) in Social Media - A Legal View

- a presentation and Q&A session with Phil Sherrell

MAIN MEETING

• Key challenges
• Social media policies
• YouTube
• Record-keeping requirements
• US regulations
• Customer services & complaints

Click here for event summary (pdf)
 
27th Mar 12 Compliance - Scotland Edinburgh
Compliance
Chairman
Derek Pennor
Senior Manager, Financial Services
Ernst & Young

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• ICO Cookie Directive
• Changing approaches to regulation
• FATCA
• FSA retail conduct review paper
• KIDs


Click here for event summary (pdf)
 
26th Mar 12 Complaints Handling Edinburgh
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

The Balmoral Hotel, Princes Street, Edinburgh EH2 3EQ (map)
Discussion Topics

• Managing increasing customer expectations
• One-stage process
• Managing complaint volumes
• FOS adjudications
• Freedom of Information Act


Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software
 
20th Mar 12 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

• Bribery & Corruption
• Sanctions
• FATF paper
• Due diligence on third parties
• Emerging & future threats

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
19th Mar 12 Operational Risk London
Operational Risk
Chairman
Anita Bradshaw
Consultant
Crowe Horwath

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics
• Evidencing risk appetite
• Key risk indicators
• EU regulator impact
• FCA/PRA impact
• Eurozone issues
• Issues raised by members

Click here for event summary (pdf)
 
6th Mar 12 Asset Management London
Asset Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• UCITS: ESMA draft guidelines
• RDR
• Market abuse: wall crossing
• FATCA
• Dodd-Frank
• MiFID II: ESMA compliance department consultation
• Eurozone impact

Click here for event summary (pdf)
 
5th Mar 12 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)
Discussion Topics

• Suitability
• Appropriateness
• Product Intervention
• Mobile Phone Recording
• Error Corrections
• RDR

Click here for event summary (pdf)
 
28th Feb 12 Compliance - Scotland Edinburgh
Compliance - Scotland
Chairman
Nicky Young
Senior Regulatory Affairs Consultant
Standard Life

The Balmoral Hotel, Princes Street, Edinburgh EH2 3EQ (map)
Discussion Topics

• RDR
• UCITS/KIDs
• Product innovation/intervention
• Changing approach to regulation
• Payment Services Directive
• FSCS


Click here for event summary (pdf)
 
27th Feb 12 Complaints Handling London
Complaints Handling
Chairman
John Howard
Consultant
Huntswood

Guest Contributor
Adam Samuel
Independent Consultant

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

PRESENTATION

"The Future of Complaints Handling"

- Adam Samuel, Independent Consultant

MAIN DISCUSSION

• Dealing with CMCs
• Managing complaint volumes
• Complaints in other jurisdictions
• FOS adjudications: premium pricing


Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software
 
21st Feb 12 Financial Crime London
Financial Crime
Chairman
Ben Luddington
Associate Director
Grant Thornton

Guest Contributor
Stephen Hardwick
Principal Officer, Strategy & Prevention
SOCA

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics
SOCA SPECIAL MEETING

A discussion with Stephen Hardwick, Principal Officer, Strategy & Prevention, Serious Organised Crime Agency


Sponsors - Grant Thornton
 
20th Feb 12 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Eurozone update
• Frameworks v policies
• ARROW visit preparation
• Error and compensation policies
• MI reports: levels & types

Click here for event summary (pdf)
 
9th Feb 12 RDR Group London
RDR
Chairman
Neil Walkling
RDR Specialist
Ernst & Young

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• General challenges
• Qualifications
• CP11/26 trail commission
• PRIPs implications
• Fund performance
• VAT guidance
• Qualifications
• Aligning systems and controls
• Advisor charging


Click here for event summary (pdf)
 
31st Jan 12 Compliance - Scotland Edinburgh
Compliance - Scotland
Chairman
Nicky Young
Senior Regulatory Affairs Consultant
Standard Life

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• MiFID
• Distributor Influenced Funds (DIFs)
• Social media
• FSA: changing approach to regulation
• UCITS: KIDs
• Freedom of Information Act

Click here for event summary (pdf)
 
30th Jan 12 Complaints Handling Edinburgh
Complaints Handling
Chairman
Stuart O'Sullivan
Partner
Huntswood

Guest Contributor
Mathew James
Independent Consultant

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

FIRST SESSION - LUNCH

"Customer Services: Present and Future"
-- a discussion with Mathew James - Independent Consultant

SECOND SESSION - MEETING

Discussion Topics
• Regulatory developments
• One-stage process
• Freedom of Information Act
• Dealing with CMCs
• Third parties: achieving a fair outcome
• IFA invoices
• Payment of Interest


Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond
 
24th Jan 12 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

• Bribery Act Guidance
• FSA Financial Crime Guide
• Fraud Risks: Central Bank of Libya
• Iran Sanctions
• SOCA SARS Annual Report

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
23rd Jan 12 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Risk appetite
• Eurozone scenarios
• Recession risk
• SARS


Click here for event summary (pdf)
 
19th Jan 12 Asset Management London
Asset Management
Chairman
Tony Bronk
Head of Compliance
Ahli United Bank

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• Implications of regulatory reform
• Governance processes
• Eurozone scenarios
• RDR
• MiFID II
• UCITS V
• PRIPS
• FATCA
• Dodd Frank Act
• CASS
• Mobile telephone recording
• Transaction reporting


Click here for event summary (pdf)
 
16th Jan 12 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Suitability
• Eurozone crisis
• MiFID, PRIPs & UCITS
• RDR


Click here for event summary (pdf)
 
12th Dec 11 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Eurozone break-up scenarios
• Hedging
• Scenario Analysis

Click here for event summary (pdf)
 
7th Dec 11 Data Assurance London
Data Assurance
The City of London Club, 19 Old Broad Street, London EC2N 1DS (map) Discussion Topics

IT SECURITY FOCUS

• Cyber attacks
-- preparation
-- minimising impact
-- terrorist threats to UK banks
-- emerging threats & trends
• Recording mobile devices
• Mobile applications
• Data encryption
• Leveraging legacy systems
• GRC
-- risk assessment methodologies & tools
-- third parties
-- ERM
• Security within the cloud
-- defending data
-- data recovery
-- internal cloud
-- hybrid clouds
• Education/Raising awareness
• Issues raised by members

Sponsors - RSA & Verizon
 
5th Dec 11 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London, EC2A 1AG (map)
Discussion Topics

• Bribery Act
• Sanctions
• Review of 2011
• Third-party payments
• Other


Click here for event summary (pdf)
Sponsors - Grant Thornton
 
29th Nov 11 Compliance - Scotland Edinburgh
Compliance - Scotland
Chairman
Craig Hamilton
Senior Manager
KPMG

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• Client money & assets return
• PS11/13
• Market Abuse Directive
• FATCA
• MiFID II
• Dodd Frank
• New media
• Issues raised by members

 
28th Nov 11 Complaints Handling London
Complaints Handling
Chairman
Stuart O'Sullivan
Partner
Huntswood

Guest Contributor
Michael Hill
Founder
complaintsrgreat.com

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

FIRST SESSION

Complaint Management: best practice & bad examples
--a discussion with Michael Hill – complaintsrgreat.com

SECOND SESSION

• Quality assurance processes
• Claims management companies


Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software
 
21st Nov 11 RDR Group London
Retail Distribution Review
Chairman
Neil Walkling
RDR Specialist
Ernst & Young

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Key challenges
• FSA papers
• FSA feedback
• Platform charging


Click here for event summary (pdf)
 
14th Nov 11 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Operational risk: impact on other risk types
• Skills for risk managers
• Scenario analysis: program/resource utilisation
• Hacking vulnerability

Click here for event summary (pdf)
 
8th Nov 11 Asset Management London
Asset Management
Chairman
Tony Bronk
Head of Compliance
Ahli United Bank

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• UCITS IV & V
• AIFMD
• MiFID II
• Dodd Frank
• FATCA
• Fund manager examination standards
• FSA Arrow Visits
• Corporate presence on social networking sites
• Competence and ethics

Click here for event summary (pdf)
 
3rd Nov 11 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Guest Contributor
Lisa C Burton
Head of eDisclosure, Forensic & Investigation Services
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London, EC2A 1AG (map)
Discussion Topics
FIRST SESSION

'When the Regulator Calls: SEC v Tamas Corporation'
- a presentation by Lisa Burton, Grant Thornton


SECOND SESSION

• FSA: Financial Crime Guide
• EU 4th Money Laundering Directive
• Sanctions
• Bribery
• UBS case
• Future risks
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
25th Oct 11 Compliance - Scotland Edinburgh
Compliance - Scotland
Chairman
Craig Hamilton
Senior Manager
KPMG

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• RDR
• Financial promotions
• MiFID II
• Client categorisation
• Other issues


Click here for event summary (pdf)
 
24th Oct 11 Complaints Handling Edinburgh
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FOS publication
• Communications methods
• FSA rule changes
• Root cause
• FSA guidance
• Future complaints


Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond
 
13th Oct 11 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)
Discussion Topics

• Suitability & appropriateness
• SIPPS
• MiFID II
• FATCA
• UCITS IV
• Future of the FSA
• Client communication - new media


Click here for event summary (pdf)
 
29th Sep 11 RDR Group London
Retail Distribution Review
Chairman
Neil Walkling
RDR Specialist
Ernst & Young

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• Main challenges
• FSA Platform Policy Statement
• Simplified advice
• Stakeholder v personal pensions
• Legacy commission on existing policies
• Qualifications



Click here for event summary (pdf)
 
27th Sep 11 Compliance - Scotland Edinburgh
Compliance - Scotland
The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map) Discussion Topics
• RDR
--legacy commission
--simplified advice
• FSA transparency CP
• FSA review: Investment complaints
• ESMA discussion paper - ETF UCITS
• FATCA
• Issues raised by members



 
26th Sep 11 Complaints Handling London
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

Guest Contributor
Dominic Lindley
Principal Policy Advisor, Public Affairs
Which?

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
FIRST SESSION - WHICH? PRESENTATION

Complaints: Are Firms Treating Customers Fairly?


SECOND SESSION - GENERAL TOPICS

• FOS issues
• One-stage process
• New media
• Current and future complaints


Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond
 
22nd Sep 11 Data Assurance London
Data Assurance
Chairman
Stephen Bonner
Partner
KPMG

The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Social media
• Education
• Third parties & outsourcing
• DLP regulation
• Emerging threats & trends in cyber security
• Advanced persistent threats
• Corporate espionage

Click here for event summary (pdf)
Sponsors - RSA Security & Verizon
 
20th Sep 11 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London, EC2A 1AG (map)
Discussion Topics

• New prosecution cases
• Identifying and verifying automated payments from third parties
• FSA Issues
• Bribery Act
• UBS case
• Future threats and current frauds
• Other


Click here for event summary (pdf)
 
15th Sep 11 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

FRAMEWORK PRESENTATION

• Fidelity

GENERAL DISCUSSION

• Risk of regulatory liabilities
• Project risk assessments
• New products risk
• Emerging risks
• Issues raised by members


 
5th Sep 11 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

City of London Club, 19 Old Broad Street, London (map)
Discussion Topics

• RDR
• Dear CEO letter: Client Attitude Towards Risk
• FSA Letter
• FSA TCF Handbook
• Bribery Act
• FSCS Levy
• FATCA

Click here for event summary (pdf)
 
22nd Aug 11 Compliance - Scotland Edinburgh
Compliance - Scotland
Chairman
Craig Hamilton
Senior Manager
KPMG

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics
• MiFID
• UCITS IV
• CP11/16
• New regulatory structure
• RDR
- platforms
- legacy/commission/advisor charging
• European regulation
• Issues raised by members


 
25th Jul 11 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

At Foster Denovo's Offices, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)
Discussion Topics

• Dear CEO Letter
• Appropriateness
• UCITS IV
• Dodd-Frank/FATCA
• Money Laundering
• RDR


Click here for event summary (pdf)
 
19th Jul 11 Asset Management London
Asset Management
Chairman
Derek Pennor
Senior Manager, Financial Services
Ernst & Young

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• RDR
• UCITS IV & V
• FATCA
• Dodd Frank Bill
• Telephone tapping
• Bribery Act
• Client assets
• FSCS levy

Click here for event summary (pdf)
 
14th Jul 11 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Guest Contributor
David Clark
DCI Head of Operations
City of London Police



Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

FIRST SESSION

A discussion with the City of London Police

SECOND SESSION

• New crimes
• Bribery Act
• AML
• Sanctions
• Social Media
• Social engineering



Click here for event summary (pdf)
Sponsors - Grant Thornton
 
28th Jun 11 Compliance - Scotland Edinburgh
Compliance - Scotland
Chairman
Derek Pennor
Senior Manager, Financial Services
Ernst & Young

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• The new regulator
• The FOS
• RDR

Click here for event summary (pdf)
 
27th Jun 11 Complaints Handling Edinburgh
Complaints Handling
Chairman
Richard Holloway
Principal Consultant
Huntswood

Guest Contributor
Sarah Cook
Managing Director
The Stairway Consultancy

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

FIRST SESSION - PRESENTATION

Putting The Consumer At The Heart Of Your Complaints Handling
- a presentation by Sarah Cook, The Stairway Consultancy

SECOND SESSION - DISCUSSION

• One-stage process
• Root cause analysis
• PPI
• FOS issues

Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond
 
20th Jun 11 Operational Risk London
Operational Risk
Chairman
Anita Bradshaw
Risk Director, Business Advisory Services
Wipro Technologies

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

FRAMEWORK PRESENTATION

• Newton Investment Management

GENERAL DISCUSSION

• Stress-testing
• KRIs
• Control frameworks
• Policy enforcement & technology
• External loss data
• Operational risk capital model
• Senior management engagement - operational risk reporting
• Turning backward looking data into forward looking risk management
• Issues raised by members



Click here for event summary (pdf)
 
16th Jun 11 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Guest Contributor
John Plank
Principal Officer, Prevention
SOCA

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

SESSION ONE - SOCA

• Presentation
• Discussions

SESSION TWO - OTHER TOPICS

• SOCA discussions
• Bribery Act
• Sanctions
• Monitoring representative offices

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
9th Jun 11 Data Assurance London
Data Assurance
Chairman
Malcolm Marshall
Partner
KPMG

Guest Contributor
Alastair Barter
Senior Policy Officer
Business and Industry Group
ICO

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Changing risks
• Classifying data
• Education
• Data monitoring
• Dealing with data leaks
• Internal emails
• Sharing information
• Social networking sites


Click here for event summary (pdf)
Sponsors - RSA Security & Verizon
 
7th Jun 11 RDR Group London
Retail Distribution Review
Chairman
Neil Walkling
RDR Specialist
Ernst & Young

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• Main Issues
• Platforms
• Simplified Advice
• Legacy Commission
• Advisor Charging for Vertically Integrated Firms
• Restricted v Independent Advice
• FSA Newsletter

Click here for event summary (pdf)
 
2nd Jun 11 Compliance - Scotland Edinburgh
Compliance - Scotland
Chairman
Jennifer Duncan
Senior Manager
KPMG

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• RDR
• UCITS IV
• Simplified products
• New regulators


Click here for event summary (pdf)
 
1st Jun 11 Complaints Handling London
Complaints Handling
Chairman
Richard Holloway
Principal Consultant
Huntswood

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• FOS issues
• One-stage process
• PPI
• Future complaints
• Consumer Insurance Bill
• Quality assurance

Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software
 
19th May 11 Asset Management London
Asset Management
Chairman
Derek Pennor
Senior Manager, Financial Services
Ernst & Young

City of London Club, 19 Old Broad Street, EC2N 1DS (map)
Discussion Topics

• FSCS Levy
• FSA Governance
• Bribery Act
• Sanctions
• UCITS IV
• Ethics
• Data protection
• RDR
• FATCA



Click here for event summary (pdf)
 
16th May 11 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Enterprise-wide risk management
• Incident management
• Technology solutions

Click here for event summary (pdf)
Sponsors - BDO LLP
 
10th May 11 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Joint ventures
• Bribery Act
• Sanctions
• Annual risk assessments
• Future risks


Click here for event summary (pdf)
Sponsors - Grant Thornton
 
9th May 11 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Guest Contributor
Ben Luddington
Associate Director
Grant Thornton

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

FIRST SESSION - THE BRIBERY ACT
- led by Ben Luddington, Associate Director, Grant Thornton

SECOND SESSION - OTHER TOPICS

• Suitability
• Appropriateness
• Calls & messaging
• RDR


Click here for event summary (pdf)
 
5th May 11 Compliance - Scotland Edinburgh
Compliance - Scotland
Chairman
Craig Hamilton
Senior Manager
KPMG

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• AIFM Directive
• Product intervention
• AIFM Directive
• Solvency II
• MiFID II
• UCITS IV
• RDR


Click here for event summary (pdf)
 
4th May 11 Complaints Handling Edinburgh
Complaints Handling
Chairman
Richard Holloway
Principal Consultant
Huntswood

The Balmoral Hotel, Princes Street, Edinburgh ED2 2EQ (map)
Discussion Topics

FIRST SESSION - COURT RULING: PPI

- led by Huntswood, with a presentation from CDC Software on dealing with high complaint volumes.

SECOND SESSION - OTHER TOPICS

• PPI judicial review
• FOS Corporate Plan
• PPI - recording effective root cause
• IFA compensation levels
• FSA proposed changes to complaint handling rules



Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond
 
14th Apr 11 RDR Group London
Retail Distribution Review
Chairman
Neil Walkling
RDR Specialist
Ernst & Young

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• Advisor charges/trail commission
• Independent v restricted advice
• Documentation
• Qualifications
• Simplified advice


Click here for event summary (pdf)
 
13th Apr 11 Financial Crime London
The Bribery Act - Special Meeting
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

The Bribery Act - New Guidance

Following the release of guidance from the Government and the Serious Fraud Office, Sterl Greenhalgh from Grant Thornton will lead discussions on the implications for the finance sector.

Sponsors - Grant Thornton
 
4th Apr 11 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

FRAMEWORK PRESENTATIONS

• National Savings & Investments
• Nationwide

GENERAL DISCUSSION

• FSA risk outlook
• Risk & strategic planning: adding value
• Business-led horizon scanning
• Risk & Control Functions
• Embedding Risk Training Framework



Click here for event summary (pdf)
 
31st Mar 11 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• RDR update
• Sanctions
• Bribery Act
• RDR
• MiFID II
• Suitability & appropriateness
• New NEDs requirements


Click here for event summary (pdf)
 
29th Mar 11 Compliance - Scotland Edinburgh
Compliance - Scotland
Chairman
Derek Pennor
Senior Manager, Financial Services
Ernst & Young

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• RDR platform paper
• FSA product intervention
• Impact of regulatory changes
• UCITS IV
• FOS issues
• Significant influence function

Click here for event summary (pdf)
 
28th Mar 11 Complaints Handling London
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

Guest Contributor
Sarah Cook
Managing Director
The Stairway Consultancy

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
FIRST SESSION - PRESENTATION

Putting The Consumer At The Heart Of Your Complaints Handling
- a presentation by Sarah Cook, The Stairway Consultancy

SECOND SESSION - DISCUSSION

• FOS
-- relationship
-- corporate plan
• PPI
-- Judicial review
-- Recording effective root cause
• FSA: TCF complaint audits
• EU consultation on collective redress
• Measuring complaint handler performance
• Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood
 
22nd Mar 11 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

• Reactions to social unrest
• Sanctions
-- Libya
-- Iran
• Bribery Act
-- update to guidance
-- policing: FSA, FSO
• PEPs: corruption risk
• Practical usage of risk matrices
• On-boarding and risk evaluation
• Future risks


Click here for event summary (pdf)
Sponsors - Grant Thornton
 
10th Mar 11 Data Assurance London
Data Assurance
Chairman
George Thompson
Director
KPMG

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Data protection
• Dealing with third parties
• Clouds
• Personal devices in the work place
• Raising awareness
• Electronic espionage & WikiLeaks


Click here for event summary (pdf)
Sponsors - RSA Security & Verizon
 
1st Mar 11 Compliance - Scotland Edinburgh
Compliance - Scotland
Chairman
Kevin Farrell
Senior Manager, Financial Services
BDO LLP

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• HMT regulation paper
• Impact of regulator changes
• FSA product intervention
• RDR
• Dealing with the FOS
• Other issues

Click here for event summary (pdf)
Sponsors - BDO LLP
 
23rd Feb 11 RDR Group London
Retail Distribution Review
Chairman
Neil Walkling
RDR Specialist
Ernst & Young

Guest Contributor
Steve Mapes
Controls Assurance Director
Cofunds

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• FSA Platforms paper
• Restricted vs. independent advice
• Competence and professionalism
• Simplified advice
• General points

Click here for event summary (pdf)
 
22nd Feb 11 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Guest Contributor
Ian Gray,
National Fraud Intelligence Bureau
City of London Police

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics
FIRST SESSION

A discussion with the National Fraud Intelligence Bureau

SECOND SESSION

• Sanctions
• Bribery Act
• AML
• EU Fraud: cultural differences in jurisdictions
• Social engineering
• PA dealing
• Carbon credit trading
• Social media
• Issues raised by members



Sponsors - Grant Thornton
 
21st Feb 11 Operational Risk London
Operational Risk
Chairman
Anita Bradshaw
Risk Director, Business Advisory Services
Wipro Technologies

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• Organisational structure: three lines of defence
• Enhancing / implementing a new risk framework
• Recent regulations
• FSA levy
• FSA: new approach to regulation
• Assurance framework


Click here for event summary (pdf)
 
17th Feb 11 Asset Management London
Asset Management
Chairman
Tony Bronk
Director
BDO LLP

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• FSCS levy
• Assessing suitability
• UCITS IV
• RDR
• Bribery Act
• CASS
• Mobile-device recording


Click here for event summary (pdf)
 
27th Jan 11 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Suitability Paper
• Bribery Act
• MiFID II
• AIFM Directive
• Dodd-Frank Bill
• RDR


Click here for event summary (pdf)
 
25th Jan 11 Compliance - Scotland Edinburgh
Compliance - Scotland
Chairman
Kevin Farrell
Senior Manager, Advisory Practice
BDO LLP

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• RDR
• Links with EU directives
• MiFID II
• FSA Suitability Guidance
• Skills Assurance
• Simple Financial Products
• PRIPs
• Client Money
• FATCA
• Bribery Act


Click here for event summary (pdf)
Sponsors - BDO LLP
 
24th Jan 11 Complaints Handling Edinburgh
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• FOS corporate plan
• FSA Consumer Paper
• Qualifications
• Root cause analysis
• Using FOS decisions
• Responsible persons
• FSA enforcement
• Volumes of FOS cases
• Trends


Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond
 
18th Jan 11 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Guest Contributor
Patric Marshall
Director, EMEA
World-Check

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• Anti-bribery initiatives
• Future threats
• Sanctions and Iran


Click here for event summary (pdf)
Sponsors - Grant Thornton & World-Check
 
17th Jan 11 Operational Risk London
Operational Risk
Chairman
Stuart Thomson
Partner
Ernst & Young

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

• New product risks
• Forward-looking risk assessments
• Future risks
• Recent papers
• Remuneration Code
• Bribery Act
• Embedding risk management
• Embedding risk


Click here for event summary (pdf)
 
1st Dec 10 Complaints Handling Dublin
Complaints Handling
Chairman
John Clinton
Senior Manager, Advisory Services Team
Ernst & Young

Guest Contributor
William Prasifka
Financial Services Ombudsman

The Clarion Hotel, IFSC Dublin 1
Discussion Topics

FIRST SESSION

"Dealing with the the FSO"
- guest speaker William Prasifka, Financial Services Ombudsman


SECOND SESSION

Open Discussion

Sponsors - CDC Respond
 
29th Nov 10 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Guest Contributor
Patric Marshall
Director, EMEA
World-Check

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

• Bribery Act update
• Whistleblowing/Dodd Frank Bill
• Sanctions
• Sanctions and Iran
• Margaret Cole Speech
• Trends & drivers / future frauds

Click here for event summary (pdf)
Sponsors - Grant Thornton & World-Check
 
25th Nov 10 RDR Group London
RDR Group
Chairman
Patrick Storey
Senior Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

• Platform remuneration
• Rebates from product providers to customers
• Investing in authorised funds through nominees
• Extension of adviser charging standards to platforms
• Best execution
• Product differentiation
• Conclusion

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
23rd Nov 10 Compliance - Scotland Edinburgh
Compliance Group
Chairman
Kevin Farrell
Senior Manager, Advisory Practice
BDO LLP

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics

• RDR: FSA platforms paper
• Bribery Act
• FSA remuneration disclosure paper
• FSCS: raised FOS limit
• Issues raised by members

 
22nd Nov 10 Complaints Handling London
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

Guest Contributor
Ian Woodman
Financial Ombudsman Service

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics

FIRST SESSION

A DISCUSSION WITH THE FOS

"Plans and Priorities" - Ian Woodman, Financial Ombudsman Service

SECOND SESSION

• FSA Consumer Complaints Paper
-- Two-stage process
-- Root cause analysis
-- FOS relationship
-- Senior responsibility
• Issues raised by members

Sponsors - CDC Software & Huntswood
 
15th Nov 10 Operational Risk London
Operational Risk
Chairman
Dan Taylor
Partner
BDO LLP

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics

• Governance
-- FSA: effective corporate governance
-- risk of changing culture
• FSA CP: enhancing frameworks in TSA to OR
• Communications: embedding risk management
• Embedding risk appetite/tolerance
• Solvency II

Click here for event summary (pdf)
Sponsors - BDO LLP
 
8th Nov 10 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics
• AIFM
• Remuneration
• Client Money
• RDR
-- latest update
-- confirming fee instructions to clients
• Dodd-Frank Bill
• Issues raised by members


 
2nd Nov 10 Data Assurance London
Minimising the Risk of Data Breaches
Chairman
Stewart Room
Partner
Field Fisher Waterhouse LLP

Guest Contributor
David Evans, Business and Industry Group, ICO
Philip Keown, Head of Technology Risk Services, Grant Thornton
Lee Miller, GRC Solutions Lead, Verizon
Rashmi Tarbatt, Chief Security Architect, RSA Security

The Andaz, 40 Liverpool Street, London EC2M 7QN (map)
Discussion Topics

• Data breaches
• A global problem
• Protecting business information
• Assurance, control & governance
• Assessing third-party risks
• Cloud computing
• Dealing with breaches


Click here for event summary (pdf)
Sponsors - RSA & Verizon
 
25th Oct 10 Complaints Handling Edinburgh
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics
• FSA Consumer Paper
-- abolition of the two-stage process
-- taking account of the ombudsman’s decisions
-- root cause analysis
-- implementation timelines
• FOS Relationship
• Complaints qualifications
• Expression of dissatisfaction
• TCF/MI/targets - uphold rates
• PPI Judicial Review


Click here for event summary (pdf)
Sponsors - CDC Software & Huntswood
 
11th Oct 10 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Guest Contributor
Sterl Greenhalgh
Partner
Grant Thornton

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
THE BRIBERY ACT
- A discussion led by Sterl Greenhalgh, Partner, Forensic & Investigation Services, Grant Thornton

GENERAL TOPICS
• RDR
• ARROW visits
• Best execution monitoring


Click here for event summary (pdf)
 
7th Oct 10 Asset Management London
Asset Management
Chairman
Tony Bronk
Director
BDO LLP

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• Bribery Act
• Enhanced CAS
• RDR
• Stress testing
• Liquidity policies and contingency funding requirements
• AIFM update
• UCITS IV
• Data protection / security
• Provision of MI to board
• Living wills
• Issues raised by members


 
5th Oct 10 Compliance - Scotland Edinburgh
Compliance Group
Chairman
Peter Downie
Company Secretary
Money Dashboard

The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)
Discussion Topics
• RDR
-- restricted vs. independent advice
-- charging models
-- qualifications
-- platforms
• Fund specific illustrations
• Presenting MI to the board
• Data protection/security


Click here for event summary (pdf)
 
27th Sep 10 Complaints Handling London
Complaints Handling
Chairman
Stuart O'Sullivan
Principal Consultant
Huntswood

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• Qualifications for complaint handlers
• Complaints MI
• Root cause analysis
• FOS Relationship
• Retrospective Complaints Handling / PPI
• Other Issues


Click here for event summary (pdf)
Sponsors - CDC Software & Huntswood
 
23rd Sep 10 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics
GENERAL TOPICS
• Bribery Act
• Sanctions
• Insider dealing

OPEN DISCUSSION
• Future threats

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
20th Sep 10 Operational Risk London
Operational Risk
Chairman
Fiona Raistrick
Director, Financial Services Risk & Regulatory Practice
BDO LLP

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• Control function interconnectivity
• Approaches to risk appetite
• ICAAP: estimating risk & AAF
• Presenting MI to the board
• Embedding accountability: Turnbull sign-off
• Risk systems
• Embedding ERM


Click here for event summary (pdf)
Sponsors - BDO LLP
 
16th Sep 10 RDR Group London
RDR Group - London
Chairman
Tim Reid
Director, Financial Services Group
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics

• Simplified advice
• Independent vs. restricted advice
• Platforms
• Distribution in a zero commission world
• Qualifications
• VAT payments
• Other issues


Click here for event summary (pdf)
Sponsors - Grant Thornton
 
13th Sep 10 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• RDR
• FSA supervision
• Liquidity
• Remuneration code
• Corporate governance
• Living wills

Click here for event summary (pdf)
 
26th Jul 10 Complaints Handling Edinburgh
Complaints Handling
Chairman
John Seaton
Principle Consultant
Huntswood

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics
• Root cause analysis
• PPI
• Changes to DISP rules
• CMCs

Click here for event summary (pdf)
Sponsors - CDC Software & Huntswood
 
20th Jul 10 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Guest Contributor
Ben Luddington
Associate Director
Grant Thornton

Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics
• Sanctions
• The Bribery Act
• Current trends
• Issues raised by members


Click here for event summary (pdf)
Sponsors - Grant Thornton
 
8th Jul 10 Asset Management London
Asset Management
Chairman
Tony Bronk
Director - Compliance
BDO LLP

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• UCITS IV
• AIFM
• RDR
• Stress testing / liquidity policies and contingency funding
• Data protection / privacy
• Provision of MI to the board
• Living wills
• Enhanced CAS
• US custodians / persons

Click here for event summary (pdf)
 
28th Jun 10 Complaints Handling London
Complaints Handling
Chairman
John Seaton
Primciple Consultant
Huntswood

Guest Contributor
Michael Wallis
Customer Care and Support Manager
Page & Moy

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
PRESENTATION
Managing Complaints and Feedback

A presentation by Michael Wallis, Customer Care & Support Manager, Page & Moy

OTHER TOPICS
• Root cause analysis
• Contextualising data
• Complaint trends
• FOS relationship
• Communication methods

Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood
 
22nd Jun 10 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Guest Contributor
Colin Cowan
Detective Superintendent
Overseas Anti-Corruption and Bribery Unit
City of London Police


Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)
Discussion Topics
• Bribery Act update
• City of London Police Overseas Ant-Corruption Unit update
• Grant Thornton survey on the Bribery Act
• Fraud trends


Click here for event summary (pdf)
Sponsors - Grant Thornton
 
21st Jun 10 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

Guest Contributor
Anita Bradshaw,
Senior Consultant
KTN

Alex Ball
Consultant
Cognisco


BDO's Offices, 55 Baker Street, London W1U 7EU (map)
Discussion Topics

PRE-MEETING 2.30 - 3pm

"People Risk: The Final Frontier"
- a presentation/discussion led by Anita Bradshaw, KTN and Alex Ball, Cognisco

MAIN MEETING 3.15 - 5pm

• KRIs
• Turning backward looking data into forward looking risk management
• Operational risk capital model
• Senior management engagement
• External loss data



Click here for event summary (pdf)
Sponsors - BDO LLP & Microsoft
 
17th Jun 10 Complaints Handling Dublin
Complaints Handling
Chairman
John Clinton
Senior Manager, Advisory Services Team
Ernst & Young

Guest Contributor
William Prasifka
Financial Services Ombudsman

The Clarion Hotel, IFSC, Dublin 1
Discussion Topics
IMPACT OF NEW OMBUDSMAN
A discussion of current topical issues with William Prasifka, Financial Services Ombudsman

GENERAL TOPICS
• Complaint trends
• Root cause analysis

Click here for event summary (pdf)
Sponsors - CDC Software
 
14th Jun 10 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

City of London Club, 19 Old Broad Street, London EC2N 1DS (map)
Discussion Topics
• RDR
• PA dealing
• Market abuse
• Corporate governance
• US foreign accounts: tax compliance
• KYC information & categorisation
• Arrow feedback

Click here for event summary (pdf)
 
9th Jun 10 Compliance - Scotland Edinburgh
Compliance Group
Chairman
Catrin Thomas
Partner
PricewaterhouseCoopers

Guest Contributor
Keith Webb
RDR Consultant
PricewaterhouseCoopers

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics
RETAIL DISTRIBUTION REVIEW
• Simplified advice
• Impact of platforms
• Other issues

OTHER TOPICS
• TCF: outcomes focus
• Measuring the value of compliance
• Optimising the value of MI


Click here for event summary (pdf)
Sponsors - PricewaterhouseCoopers
 
24th May 10 Complaints Handling Edinburgh
Complaints Handling
Chairman
John Seaton
Principal Consultant
Huntswood

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics
PRESENTATION /DISCUSSION 2.30 - 3pm

FSA Complaint Handling Review
- Caroline Walters, Huntswood

MAIN MEETING 3 - 4.30pm

• Quality assurance
• Root cause analysis
• Training & competence
• Complaint handler productivity
• Contextualising data
• Issues raised by members


Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond
 
18th May 10 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Guest Contributor
Arjun Medhi
Staff Fraud Advisor
CIFAS

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
MAIN MEETING 2.15 - 3.30

• Sanctions
• The Bribery Bill
• International blacklists
• New fraud techniques


PRESENTATION/DISCUSSION 3.30 - 4.00

"Sharing responsibility for combatting internal fraud"

- Arjun Medhi, Staff Fraud Advisor, CIFAS

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
17th May 10 Operational Risk London
Operational Risk
Chairman
Ian Cottrell
Director
BDO LLP

Guest Contributor
Jeremy Wood
Director
Finsbury Solutions

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
PRE-MEETING 2.30 - 3pm

Spreadsheet Risk Management: Overcoming Barriers to Effective Spreadsheet Control
- Jeremy Wood, Finsbury Solutions

MAIN MEETING 3.15 - 5pm

• Risk measurement: inherent v residual
• Pillar II add-ons
• Embedding risk frameworks
• Stress testing
• Election impact
• Sovereign debt risk

Click here for event summary (pdf)
Sponsors - BDO LLP & Microsoft
 
10th May 10 Private Wealth Management London
Private Wealth Management
Chairman
Gareth Greenwood
Senior Manager - Regulatory Team
Deloitte

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• ARROW feedback
• Effective corporate governance
• FSA business plan & risk outlook
• RDR: commercial impact
• Client money
• Complaints handling

Click here for event summary (pdf)
Sponsors - Deloitte & Microsoft
 
6th May 10 Asset Management London
Asset Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• UCITS IV
• RDR/PRIPS interaction
• AIFM directive
• ARROW visit feedback
• Data protection/security
• Provision of MI to boards
• CAS letter


Click here for event summary (pdf)
 
27th Apr 10 Compliance - Scotland Edinburgh
Compliance Group
Chairman
Tim Kirk
Partner
BDO LLP

Guest Contributor
Jeremy Evans
Professional Standards Policy Team
FSA

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics
• RDR: professional standards
• Complaints transparency
• Implications of FSA's new approach to regulation
• ARROW visit feedback


Click here for event summary (pdf)
 
26th Apr 10 Complaints Handling London
Complaints Handling
Chairman
John Seaton
Principal Consultant
Huntswood

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• Consumer action groups
• FSA/FOS/OFT complaints paper
• Thematic reviews
• Complainant communications methods
• Best practice: working with other industries
• Complaint handler productivity: FSA reporting
• Quality assurance: balance between independent checking & management oversight
• Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood
 
19th Apr 10 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
PRE-MEETING 2.30 - 3pm

Presenting MI to the Board: Discussion on Best Practice
- facilitated by Andrew Smart, Manigent

MAIN MEETING 3.15 - 5pm

• MI: measuring success
• Operational risk modelling
• Loss reporting: best practice
• Scenarios


Click here for event summary (pdf)
Sponsors - BDO LLP & Microsoft
 
23rd Mar 10 Compliance - Scotland Edinburgh
Compliance Group
Chairman
Peter Downie
Company Secretary
Money Dashboard

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics
• Consumer Protection Committee
• FSA Financial Risk Outlook
• RDR: commercial impact
• Current climate: comments vs. advice
• Client money
• PPI - update
• Financial promotions


Click here for event summary (pdf)
 
22nd Mar 10 Complaints Handling Edinburgh
Complaints Handling
Chairman
John Seaton
Principal Consultant
Huntswood

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics
• New consumer complaints paper
• Complaints communications
• Interest rates: redress payments
• PSD: redress payments
• Complaints trends
• Other issues

Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood
 
16th Mar 10 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• Bribery Bill update
• Data protection and information security breaches
• Third-party distributors – AML review
• Reliance on fund distributors operating within Taiwan
• Record keeping of AML verification documents
• Fraud trends


Click here for event summary (pdf)
Sponsors - Grant Thornton
 
15th Mar 10 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

Guest Contributor
Anita Bradshaw
Senior Consultant
Logica

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
PRE-MEETING 2.30pm - 3pm

KRIs/Risk Appetite - Nationwide presentation/discussion

MAIN MEETING 3.15pm
• The perfect risk dashboard
• Use of risk policies: carrot v. stick approach
• Credit crisis: new risks
• ICAAP: regulatory update
• Liquidity
• ARROW and information sharing

Click here for event summary (pdf)
Sponsors - BDO LLP & Microsoft
 
8th Mar 10 Private Wealth Management London
Private Wealth Management
Chairman
Stuart Campbell
Associate Director
Protiviti

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• Market abuse
• Offshore clients
• RDR
• ARROW visit feedback
• TCF
• Walker review
• FSA Financial Outlook


Click here for event summary (pdf)
Sponsors - Microsoft
 
4th Mar 10 Asset Management London
Asset Management
Chairman
Tony Bronk
Director
BDO LLP

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• RDR
• Client money
• Oversight of third parties
• UCITS IV
• Liquidity within funds


Click here for event summary (pdf)
 
1st Mar 10 Complaints Handling London
Complaints Handling
Chairman
John Seaton
Principal Consultant
Huntswood

Tower 42, 25 Old Broad Street EC2N 1HQ (map)
Discussion Topics
• Root cause analysis
• FSA thematic reviews
• Transparency proposals
• PPI
• Other issues

Sponsors - CDC Respond & Huntswood
 
23rd Feb 10 Compliance - Scotland Edinburgh
Compliance Group
Chairman
Peter Downie
Company Secretary
Money Dashboard

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics
• Effective corporate governance (CP10-03)
• Publication of complaints data (PS10-01)
• Treating Customers Fairly

Click here for event summary (pdf)
 
16th Feb 10 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• Combating insider fraud
• Sanctions
• Due diligence for PEPs
• Bribery and corruption
• SARS
• Compliance monitoring: resourcing
• Fraud trends

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
15th Feb 10 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

Guest Contributor
Anita Bradshaw
Senior Consultant
Logica

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• Scenarios
• Board engagement
• Current regulatory climate
• Risk appetite/tolerance
• Business Continuity Planning
• Remuneration
• IT and spreadsheet risk
• Capturing risk events


Click here for event summary (pdf)
Sponsors - BDO LLP & Logica
 
8th Feb 10 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• RDR
• ARROW visit feedback
• Suitability
• ICAAP
• Client assets
• Shah vs. HSBC case
• Onshore banks with offshore clients
• TCF
• Other issues

Click here for event summary (pdf)
Sponsors - Microsoft
 
27th Jan 10 Compliance - Scotland Edinburgh
Compliance - Investment Focus
Chairman
Fiona Raistrick
Senior Manager, FS Regulatory Practice
BDO LLP

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics
• Information security
• PPI: FSA policy statement
• Approved persons requirements
• ARROW visit feedback
• FSA supervision
• The Bribery Bill

Click here for event summary (pdf)
Sponsors - BDO LLP
 
25th Jan 10 Complaints Handling Edinburgh
Complaints Handling
Chairman
John Seaton
Principal Consultant
Huntswood

The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)
Discussion Topics
• FSA transparency proposals
• FSA thematic review
• Root cause analysis
• Bank charges
• Complaints trends


Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood
 
19th Jan 10 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• Sanctions
• The Bribery Bill
• Fraud trends
• Other issues


Click here for event summary (pdf)
Sponsors - Grant Thornton
 
18th Jan 10 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

Guest Contributor
Anita Bradshaw
Senior Consultant
Logica

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• Effectiveness of ERM frameworks
• Information security
• Embedding the ICAAP
• Key risk indicators

Click here for event summary (pdf)
Sponsors - BDO LLP & Logica
 
11th Jan 10 Private Wealth Management London
Private Wealth Management
Chairman
Elinor Murray
Senior Manager, Risk Advisory
Ernst & Young

Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)
Discussion Topics
• RDR
• ARROW feedback
• Issues raised by members


Click here for event summary (pdf)
Sponsors - Ernst & Young and Microsoft
 
7th Jan 10 Asset Management London
Asset Management
Chairman
Richard Walbach
Director
Clearconcepts


Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Economic outlook
• RDR / PRIPs
• Monitoring best execution for OTC trades
• ARROW feedback
• Conflicts of interest
• AIFM directive
• FSA Thematic Review: Client Money
• Issues raised by members


Click here for event summary (pdf)
 
23rd Nov 09 Complaints Handling London
Complaints Handling
Chairman
Steve Southall
Executive Director
Ernst & Young

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• FSA transparency proposals
• FOS annual budget review
• CMC update
• PPI consultation paper
• Complaints MI
• Current complaints trends


Click here for event summary (pdf)
Sponsors - CDC Respond
 
18th Nov 09 Compliance - Scotland Edinburgh
Retail - Scotland
Chairman
Jeremy Fraser
Partner
Brodies LLP

The Balmoral Hotel, Princes Street (map)
Discussion Topics
• FSA supervision
• Transparency
• BCOBS guidance
• Lending Code
• Turner Review
• Mortgage Market Review
• RDR
• FSA policy statement on single customer view
• BIS review of credit and store cards
• Projection rates


Click here for event summary (pdf)
Sponsors - Microsoft
 
17th Nov 09 Financial Crime London
Financial Crime
Chairman
Sterl Greenhalgh
Partner
Grant Thornton

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Preparation for the Bribery Bill
• Fraud trends
• Integration of financial crime management
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Grant Thornton & Microsoft
 
16th Nov 09 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO LLP

Guest Contributor
Anita Bradshaw
Senior Consultant
Logica

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Succession planning
• Regulatory risk
• Cultural issues
--governance risk
--ethics
• Event reporting to prediction

Click here for event summary (pdf)
Sponsors - BDO LLP & Logica
 
12th Nov 09 Complaints Handling Manchester
Complaints Handling
Chairman
Tim Buckingham
Partner
DLA Piper LLP

Radisson Hotel, Peter Street (map)
Discussion Topics
• Consumer Credit Directive
• Consumer White Paper
• PPI consultation paper
• FOS League tables
• CMC update
• Current complaint trends
• Issues raised by members

Sponsors - CDC Respond
 
9th Nov 09 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Compliance Director
Foster Denovo

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• RDR
• MiFID II
• AIFM directive
• UCITS IV
• TCF
• Walker Review
• OTC derivatives
• General Issues

Click here for event summary (pdf)
Sponsors - Foster Denovo & Microsoft
 
2nd Nov 09 Asset Management London
Asset Management - Retail
Chairman
Elinor Murray
Senior Manager, Risk Advisory
Ernst & Young

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Retail Distribution Review
• ARROW visit feedback
• UCITS IV
• Walker Review
• Compliance policies and procedures


Click here for event summary (pdf)
 
21st Oct 09 Compliance - Scotland Edinburgh
Retail - Scotland
Chairman
Allan McGrath
Director
PricewaterhouseCoopers

Guest Contributor
Jeremy Fraser
Partner
Brodies LLP

The Balmoral Hotel, Princes Street (map)
Discussion Topics
• PPI feedback
• White labelling
• Financial Services Compensation Scheme
• Payment Services Directive
• FSA guidelines

Click here for event summary (pdf)
 
20th Oct 09 Financial Crime London
Financial Crime
Chairman
Mark Carter
Partner
Deloitte LLP

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Embedding fraud risk assessment monitoring
• Data security
--protecting employee data
--outsourced IT facilities
--IFAs and other third-parties
• Risk of operating in other jurisdictions
• Risk of social networking sites
• Provision of banking services to US citizens
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Deloitte
 
19th Oct 09 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

Guest Contributor
Anita Bradshaw
Senior Consultant
Logica

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Controls of critical spreadsheets
• Root cause analysis - causal categories
• Treatment of error profits
• Scalability
• Swine flu update for BCP

Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Logica
 
12th Oct 09 Private Wealth Management London
Private Wealth Management
Chairman
Tim Rooke
Partner
Ernst & Young

Guest Contributor
Anthony Kirby
Director
Ernst & Young

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Remuneration
• RDR
--training
--product panels
--operational implications
• UCITS IV
• BCOBS & Payment Services Directive


Click here for event summary (pdf)
Sponsors - Ernst & Young and Microsoft
 
28th Sep 09 Complaints Handling London
Complaints Handling
Chairman
Phil Byrne
Partner
Huntswood

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• FOS league tables
• FSA transparency proposals
• Root cause analysis
• FSA complaints project
• CMCs


Click here for event summary (pdf)
Sponsors - CDC Respond
 
22nd Sep 09 Financial Crime London
Financial Crime
Chairman
Simon Dwyer
Director
KPMG

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Corruption Bill
• Current fraud typologies
• SEPA payments
• Data security
-- customer communications
• Monitoring identity theft
• Issues raised by members


Click here for event summary (pdf)
 
16th Sep 09 Compliance - Scotland Edinburgh
Retail - Scotland
Chairman
Jeremy Fraser
Partner
Brodies LLP

Balmoral Hotel, Princes Street (map)
Discussion Topics
• Retail Distribution Review
• Complaints handling & FOS
• Competition Commission draft
• Payment Services Directive / BCOBs
• Approved persons regime
• Issues raised by members





Click here for event summary (pdf)
 
14th Sep 09 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager, Financial Services Group
Grant Thornton

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Retail Distribution Review
• Advice to offshore clients
• FSA supervision
• Financial climate
• Structured products

Click here for event summary (pdf)
Sponsors - Microsoft
 
27th Jul 09 Complaints Handling Manchester
Complaints Handling
Chairman
Matt Malone
Partner
Huntswood

Radisson Hotel, Peter Street (map)
Discussion Topics
• Current complaints trends and industry update
• FOS league tables
• FOS responsibility
• Quality assurance
• Complaints culture
• Root cause analysis: improving MI
• Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond
 
20th Jul 09 Financial Crime London
Financial Crime
Chairman
Mark Tantam
Partner, Forensic and Dispute Services
Deloitte

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Sanctions best practice
• Reviewing systems and services for screening and due diligence
• Advances in fuzzy logic
• Current fraud typologies
• Customer communication: data security risks
• Monitoring identity theft
• Issues raised by members

Click here for event summary (pdf)
 
20th Jul 09 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

Tower 42, 25 Old Broad Street (map)
Discussion Topics

• Risk of risk management systems
• Managing reputational risk
• Business continuity
• Records management
• Impact of Twitter
• Regulatory risk

Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward & Logica
 
15th Jul 09 Compliance - Scotland Edinburgh
Retail - Scotland
Chairman
Catrin Thomas
Partner
PricewaterhouseCoopers

Balmoral Hotel, Princes Street (map)
Discussion Topics
• RDR: review of FSA consultation paper
• Approved persons regime - FSA feedback
• ARROW visit feedback
• Risk and corporate governance
• Issues raised by members

Click here for event summary (pdf)
 
13th Jul 09 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager, Financial Services Group
Grant Thornton

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• RDR
- Professional qualification requirements
- Requirements for discretionary funds
• Trail: justifying value of service/fees
• Financial climate: 6 month outlook
• New product ideas: impact on risk and intermediaries
• Record keeping
• Remuneration
• Issues raised by members

Click here for event summary (pdf)
 
22nd Jun 09 Complaints Handling London
Complaints Handling: Best Practice
Chairman
Phil Byrne
Senior Consultant
Huntswood

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Current complaints trends
• Industry update
• Best practice
- Identifying areas for process and performance improvements
- Reducing complaints volumes through root cause analysis
- Lowering complaints handling timeframes
- Improving complaints channels
- Making a business case for change
•Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond
 
17th Jun 09 Compliance - Scotland Edinburgh
Sales Process Development
Chairman
Jeremy Fraser
Partner
Brodies

Guest Contributor
Peter Downie
Company Secretary
Money Dashboard

Balmoral Hotel, Princes Street (map)
Discussion Topics
• Sales promotions
• Guided vs advised sales
• Sales channel considerations
- Direct
- Indirect
• Customer communications
• Treating Customers Fairly
• Post-sales strategies
- Contact strategy
- Complaints handling
- MI
- Escalation
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Brodies LLP
 
15th Jun 09 Financial Crime London
Financial Crime
Chairman
Richard Indge
Partner
Ernst & Young

Guest Contributor
Jim Burns
CTO Financial Services, UK
Microsoft

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Corruption Bill; FCPA in the UK
• Fraud risk in a downturn
• Insider trading
• Resourcing: quantifying risks
• Outsourcing: reviewing third party payments
• Reviewing systems and services for screening and due diligence
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Microsoft
 
15th Jun 09 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Executive reporting/board engagement
- dashboards
- creating value
• Managing third-party risk
- outsourcing and SLA issues
- data issues
- intellectual property
• Embedding risk appetite/tolerance
• Future risks


Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Logica
 
8th Jun 09 Private Wealth Management London
Private Wealth Management
Chairman
Stuart Campbell
Associate Director
Protiviti

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Effectiveness of risk, compliance and internal audit
- influence on the business
- involvement in derivatives risk management
- challenging management on controls and decisions
- clarity and independence of reporting lines
- assessment and monitoring
- board reporting and involvement
- feedback from ICAAP visits
- allocating appropriate capital levels
- articulating risk appetite
• Complaints: experience in the current climate
• Fraud: quantifying losses; near misses with hard to value assets
• RDR: progress and risks
• Issues raised by members

Click here for event summary (pdf)
 
1st Jun 09 Asset Management London
New Product Development
Chairman
Scott Soper
Senior Manager, Risk & Regulatory
Grant Thornton

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Impact of proposed Alternative Investment Fund Directive
• Key stakeholders: role of compliance
• Current market considerations
- hedge funds
- quantitative easing
- counterparty risk
- SICAVs
• UCITS
- disclosure
- marketing restrictions across jurisdictions
• Risk appetite
• Issues raised by members

 
26th May 09 Complaints Handling Manchester
Complaints Handling: Best Practice
Chairman
Matt Malone
Partner
Huntswood

Radisson Hotel, Peter Street (map)
Discussion Topics
• Identifying areas for process and performance improvements
• Reducing complaints volumes through root cause analysis
• Lowering complaints handling timeframes
• Improving complaints channels
• Making a business case for change
• Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond
 
18th May 09 Financial Crime London
Financial Crime
Chairman
Andrew Clark
Partner
PricewaterhouseCoopers

Guest Contributor
Peter Burrell
Partner
Herbert Smith

James Burns
CTO Financial Services UK
Microsoft

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• FSA paper on sanctions
• Safe Custody Review
• Automated v. manual monitoring
• Bearer shares
• Impact of Patriot Act: information
requested by correspondent banks
in the US
• Dawn raids: cold calling
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Microsoft
 
18th May 09 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

BDO Stoy Hayward, 55 Baker Street, W1
Discussion Topics
• Scenario analysis/stress testing
• Risk & controls - self assessment
• Liquidity standards
• External loss databases
• Issues raised by members

Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward & Logica
 
11th May 09 Private Wealth Management London
Private Wealth Management
Chairman
Stuart Campbell
Associate Director
Protiviti

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• The ICAAP process
- Feedback from FSA visits
- Sharing risk registers
- Allocating appropriate capital levels
- Challenging management on controls
- The ‘use test’
- Articulating risk appetite
• Income accounts: lack of confidence in credit markets
• Client reports: forecasting
• RDR: update
• Issues raised by members

 
27th Apr 09 Complaints Handling London
Complaints Handling
Chairman
Matt Malone
Head of Transformation
Huntswood

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Complaints League Tables
• Current complaint volumes and trends
• Consumer Responsibility: FSA DP08-05
• Unenforceable loan agreements
• Risk-based repricing
• Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond
 
22nd Apr 09 Compliance - Scotland Edinburgh
Retail - Scotland
Chairman
Jeremy Fraser
Partner
Brodies LLP

Balmoral Hotel, Princes Street (map)
Discussion Topics
• Turner Review
• BCOBS
• Payment Services Directive
• FSA enforcement
• Consumer Credit Directive
• Financial Promotions issues
• Retail Distribution Review update
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Brodies LLP
 
20th Apr 09 Financial Crime London
Financial Crime
Chairman
Karen Briggs
Partner, Head of Financial Services Forensic
KPMG

Guest Contributor
Jim Burns
CTO Financial Services, UK
Microsoft

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Dawn raids; cold calling
• Impact of Patriot Act: information requested by correspondent banks in the US
• Automated v. manual monitoring
• Quantifying the extent of fraud risk
• Common fraud profiles in the current climate
• Issues raised by members

Click here for event summary (pdf)
Sponsors - KPMG and Microsoft
 
20th Apr 09 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Managing risks of overseas branches
• Corporate governance
• Solvency 2
• Spreadsheet risks
• SREP
• Issues raised by members

Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward
 
6th Apr 09 Asset Management London
Third Parties: Relationships and Controls
Chairman
Dominic Hill
Partner
Lovells

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Managing counterparty risk
• Independent valuations/monitoring performance
• Due diligence processes
• Monitoring fraud
• Data protection and data security issues
• Dealing with non-regulated third parties
• Issues raised by members

Click here for event summary (pdf)
 
23rd Mar 09 Complaints Handling Manchester
Complaints Handling
Chairman
Matt Malone
Head of Transformation
Huntswood

Radisson Hotel, Peter Street (map)
Discussion Topics
• Complaints League Tables
• Consumer Responsibility: FSA DP08-05
• Unenforceable loan agreements
• Current complaint volumes and uphold rates
• Current processes for refunding credit card fees
• Risk-based repricing
• Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond
 
18th Mar 09 Compliance - Scotland Edinburgh
Compliance: Current Issues
Chairman
Peter Downie
Company Secretary
Money Dashboard

Guest Contributor
Lindsay Lee
Solicitor
Brodies LLP

Balmoral Hotel, Princes Street (map)
Discussion Topics
• Turner Review
• Retail Distribution Review
• Treating Customers Fairly
• PPI
• Payment Services Directive
• Issues raised by members

Click here for event summary (pdf)
 
16th Mar 09 Financial Crime London
Financial Crime
Chairman
Karen Briggs
Partner, Head of Financial Services Forensic
KPMG

Guest Contributor
Jim Burns
CTO Financial Services UK
Microsoft

Tower 42, Old Broad Street, EC2 (map)
Discussion Topics
• FSA recommendations from the Financial Risk Outlook paper
- Managing increased fraud risk in the current environment
- Monitoring shifting trends
- Procedures for handling market rumours
• ARROW visits: what to expect
• Whistleblowing lines
• Issues raised by members

Click here for event summary (pdf)
Sponsors - KPMG and Microsoft
 
16th Mar 09 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

Tower 42, 25 Old Broad Street, EC2 (map)
Discussion Topics

• Stress testing
• Liquidity standards
• Reputational risk
• Information risks: benchmarking against FSA standards
• Capital adequacy vs. individual risks
• Managing risks of overseas branches
• SREP
• Risks in the current climate


Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward
 
9th Mar 09 Private Wealth Management London
Private Wealth Management
Chairman
Rob Nieves
Director, Business Risk
Protiviti

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Liquidity standards
• Stress testing
• TCF: Progress report
• Counterparty risk
• Current fraud trends and risks
• Hedge funds update
• Industry update: market conditions
• Issues raised by members

Click here for event summary (pdf)
 
2nd Mar 09 Asset Management London
Derivatives Risk Management
Chairman
Jonathan Herbst
Partner
Norton Rose

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Performance management
• Data control, accurate asset valuations
• Risk disclosure
• Risk assessment
• Risk controls and monitoring
• Training and competence
• Reducing counterparty risk
• Issues raised by members


Click here for event summary (pdf)
 
23rd Feb 09 Compliance - Scotland Edinburgh
Communications in a Difficult Climate
Chairman
Jeremy Fraser
Partner
Brodies

Balmoral Hotel, Princes Street (map)
Discussion Topics

Keeping Customers Informed
• Avoiding confusion vs scaremongering
• PPI

Marketing and Communicating Product Information
• Current examples
• Keeping information up-to-date
• Total premium issue
• Risk warnings: tailoring to climate

Changes to Products/Terms & Conditions
• Current examples
• Distance marketing regulations
• Illustrations on contracting out

Customer Communications
• Query handling
• Valuations
• Complaints: managing peaks and troughs
• Lending policies (SMEs)
• Arrears handling
• Media impact

TCF
• Transparency
• General update

Internal Communications
• Staff morale
• Managing market conditions
• Managing media impact

RDR: General Update


Click here for event summary (pdf)
 
23rd Feb 09 Complaints Handling London
Complaints Handling
Chairman
Kate Davies
Senior Manager
Mazars

Guest Contributor
Dr Sharon Gilad
Research Officer, Centre for Analysis of Risk and Regulation
London School of Economics

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Bank charges test case: implications and preparations
• PPI: impact of Competition Commission ruling
• Complaints league tables: implications and preparations
• Current complaint trends
- Risk-based pricing
- Unenforceable loan agreements
• FOS: current issues and response to corporate plan 2009/2010
• Outlook for complaints in 2009
• Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond
 
16th Feb 09 Financial Crime London
Financial Crime
Chairman
David Hicks
Partner, Financial Services
KPMG

Guest Contributor
Jim Burns
CTO Financial Services UK
Microsoft


Tower 42, Old Broad Street, EC2 (map)
Discussion Topics
• Third party distributors: due diligence, monitoring, distribution agreements
• Inducements
• TCF
• Section 166 Skilled Persons Reports: enforcement or supervision?
• Outsourcing KYC
• Reporting structures: AML, fraud, crime, security
• Staff vetting
• Issues raised by members

Click here for event summary (pdf)
Sponsors - KPMG and Microsoft
 
16th Feb 09 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

Tower 42, 25 Old Broad Street EC2 (map)
Discussion Topics
SREP
• Embedding capital adequacy into systems: self-assessment
• ICAAP: bottom-up risks

Operational Risk: Current Climate
• Embedding into systems
• Different methodologies
• Risk of cutbacks and business enhancements

Systems For Managing Risk
• Embedding controls
• Options for running risk teams
• Measuring risk: management committees

Issues raised by members



Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward
 
9th Feb 09 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager, Risk & Regulatory
Grant Thornton

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Impact of recent events on:
- Due diligence processes for counterparties
- Range of instruments used within client portfolios
- Evidencing appropriate performance and portfolio construction for clients
- Trade volumes with in house or tied brokers
- Valuations of unquoted securities
• Managing the impact of hedge funds on clients
• Monitoring client positions and counterparty exposure in periods of intense trading activity and extreme market volatility
• Client identification by dealing desk
• Issues raised by members

Click here for event summary (pdf)
 
28th Jan 09 Compliance - Scotland Edinburgh
Retail Distribution Review
Chairman
Stephen Kelly
Risk and Capital Management Practice Leader
Grant Thornton

Balmoral Hotel, Princes St (map)
Discussion Topics
• FSA Feedback Statement: update and impact
• New advisory models: clarity or confusion?
• Remuneration post-RDR
• IFAs: managing relationships, training and contracts
• TCF: client communications and expectations
• Transition: timeframes and progress
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
26th Jan 09 Complaints Handling Manchester
Complaints Handling
Chairman
Roger McCourt
Partner, Financial Litigation
DLA Piper

Radisson Hotel, Peter Street (map)
Discussion Topics
• Bank Charges Test Case: What preparatory work, if any, is currently undergoing in the event that banks lose the appeal to the test case?
• PPI and the likely impact of the Competition Commission ruling
• Arrears and repossessions: setting policy and verifying financial hardship
• Complaints league tables: implications and preparations; sharing current reporting practices for benchmarking purposes
• Current FOS issues
• Outlook for complaints in 2009
• Issues raised by members

Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond
 
19th Jan 09 Financial Crime London
Financial Crime
Chairman
Karen Briggs
Partner, Head of Financial Services, Forensic
KPMG

Guest Contributor
Jim Burns
CTO Financial Services UK
Microsoft


Tower 42, Old Broad Street, EC2 (map)
Discussion Topics
• New fraud techniques; industry trends
• New customer vetting: comparing different approaches across the industry
• Risk weighting methods
• Software for KYC
• Issues raised by members

Click here for event summary (pdf)
Sponsors - KPMG and Microsoft
 
19th Jan 09 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• SREP
• Merging risk and compliance teams
• Usefulness of economic capital and alternatives
• Hedge funds - short selling restrictions
• Risks of dealing with regulators
• General points

Sponsors - BDO Stoy Hayward
 
12th Jan 09 Private Wealth Management London
Retail Distribution Review
Chairman
Julian Bartlett
Partner
Grant Thornton

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Retail Distribution Review
- Remuneration
- Advice
- Professional Standards
- Industry opinion
• TCF
• Fair values on unquoted securities
• Industry outlook for 2009
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
5th Jan 09 Asset Management London
Retail Distribution Review
Chairman
Ashley Carter
Chief Executive, Regulatory Outsourcing
Grant Thornton

Guest Contributor
Andy Maysey
Senior Advisor, Retail Distribution
Investment Management Association

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• FSA Feedback Statement: update and impact
• New advisory models: clarity or confusion?
• Remuneration post-RDR
• IFAs: managing relationships, training and contracts
• TCF: client communications and expectations
• Transition: timeframes and progress
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Grant Thornton
 
24th Nov 08 Financial Promotions Edinburgh
Financial Promotions
Chairman
Jeremy Fraser
Partner
Brodies

Balmoral Hotel, Princes St (map)
Discussion Topics
• Impact of new ICOB rules
• The Payment Services Directive
• Treating Customers Fairly
• Impact of economic downturn
• Issues raised by members

 
24th Nov 08 Complaints Handling London
Complaints Handling
Chairman
Paul Willis
Principal Consultant
Huntswood

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• Competition Commission: Bank Charges Test Case
• FSA Transparency Proposals: Preparation for League Tables
• Centralisation: Advantages and Disadvantages
• Fees: Sharing Policies and Approaches
• Complaints Champions
• Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond
 
19th Nov 08 Compliance - Scotland Edinburgh
Principles-Based Regulation
Chairman
Andrew Shiels
Principal Consultant
KPMG

Balmoral Hotel, Princes St (map)
Discussion Topics
• A principles-based approach at a group/international level
• Turning principles into rules; internal standards
• Evidencing to the FSA
• Senior management buy-in
• Education and training
• Impact of 'credit crunch'
• Issues raised by members


Click here for event summary (pdf)
 
17th Nov 08 Financial Crime London
Financial Crime
Chairman
Karen Briggs
Partner
Head of Financial Services, Forensic
KPMG

Guest Contributor
James Burns
CTO Financial Services, UK
Microsoft

Tower 42, 25 Old Broad Street, EC2 (map)
Discussion Topics
• Relationships between SOCA and the police
• Business training: CBT, tools and approaches
• Fraud measurement: losses and near misses
• Data security
-- Results from gap analyses
-- Responses to the FSA
-- New ICO powers
• Issues raised by members


Click here for event summary (pdf)
Sponsors - KPMG and Microsoft
 
17th Nov 08 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Business continuity and disaster recovery programmes
• Stress testing
• Risk/reward/compensation
• Issues raised by members


Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle
 
10th Nov 08 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager, Risk and Regulatory
Grant Thornton

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Market conditions
• Conflicts of interest and inducements
• Best execution
• Verification of third party fund factsheets
• RDR
• Implementing principles-based regulation
• TCF: preparing for ARROW visits
• Issues raised by members


Click here for event summary (pdf)
 
3rd Nov 08 Asset Management London
Market Abuse
Chairman
Rob Nieves
Director, Business Risk
Protiviti

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Suspicious Transaction Reports
• Chinese walls – national and international issues.
• Internal monitoring – risk-based approach
• Effect of a whistleblower system
• Rumours and misleading information – can it be stopped?
• Corporate governance
• Evidencing to the regulator
• Issues raised by members

Click here for event summary (pdf)
 
28th Oct 08 Financial Promotions London
Financial Promotions
Chairman
Paul Jennings
Senior Manager, Regulatory
Ernst & Young

The City Club, 19 Old Broad St (map)
Discussion Topics
TCF
• Embedding
• Demonstrating
• Changing promotions
Impact of Economic Downturn
• Messaging in a crisis
• Resource cutbacks
Issues raised by members


Click here for event summary (pdf)
 
27th Oct 08 Complaints Handling Manchester
Complaints Handling
Chairman
Rod Hepple-Wilson
Director, Regulatory Advisory
Mazars

The Radisson Hotel, Peter Street (map)
Discussion Topics
• PPI: Wider Implications Review
• FSA Transparency Proposals: Update
• Post-ARROW visits: Feedback
• Root Cause Analysis: Evidencing the Product Lifecycle
• Complaint Champions
• Measuring productivity: Variants; Modelling
• Centralisation: Advantages and Disadvantages
• Cost of Handling Escalated Complaints
• Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond
 
22nd Oct 08 Compliance - Scotland Edinburgh
TCF: Meeting the Deadline
Chairman
Paul Jennings
Senior Manager, Regulatory
Ernst & Young

Balmoral Hotel, Princes St (map)
Discussion Topics
• Progress on embedding
• Evidencing
• Cultural change: challenges
• Meeting the deadline
• Feedback from FSA visits
• Issues raised by members

Click here for event summary (pdf)
 
20th Oct 08 Financial Crime London
Financial Crime
Chairman
Karen Briggs
Partner
Head of Financial Services, Forensic
KPMG


Guest Contributor
Jennifer Hammond
Director
KPMG

Tower 42, 25 Old Broad Street, EC2 (map)
Discussion Topics
• FCPA
• Cross-sector co-operation
- Assurance: compliance monitoring; role of internal audit
- Measurement: defining losses/near misses
- Fraud scams - typology
• Sanctions
- FSA paper
- EU sanctions
• Ethics: policy and training
• Issues raised by members


Click here for event summary (pdf)
Sponsors - KPMG and Microsoft
 
20th Oct 08 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Business Continuity and Disaster Recovery programmes
• Risk: appetite, tolerance, capacity
- Assessment processes & authority levels
- Sharing processes and ideas
- Putting the use test into practice
• Use of non-risk data
- Behavioural data and trends
• Involvement of operational risk in M&A activity
• Retrospective legislation, FOS decisions on pre 2005 cases
• Reputational risk
- measuring non-financial impacts, downtime
• Issues raised by members


Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle
 
13th Oct 08 Private Wealth Management London
Private Wealth Management
Chairman
Ian Woodhouse
Director, Investment Management and Private Banking
Ernst & Young

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Feedback on FSA visits
• TCF progress
• Rebates and retrocessions post-MiFID
• Collective Investment Schemes
• Market conditions and customer confidence
• Issues raised by members


Click here for event summary (pdf)
 
13th Oct 08 Retail - North Manchester
TCF: Meeting the Deadline
Chairman
Anya O'Reilly
Senior Manager, Financial Services Assurance
PricewaterhouseCoopers

Radisson, Peter St (map)
Discussion Topics
• Progress on embedding
• Evidencing
• Cultural change: challenges
• Meeting the deadline
• Feedback from FSA visits
• Issues raised by members

Click here for event summary (pdf)
 
6th Oct 08 Asset Management London
UCITS III
Chairman
Rob Nieves
Director, Business Risk
Protiviti

Tower 42, 25 Old Broad St (map)
Discussion Topics
• UCITS III and the MiFID regime
• Implementation across Europe
• Product performance
• Revisions to the Simplified Prospectus
• UCITS IV – potential changes
• Issues raised by members

Click here for event summary (pdf)
 
1st Oct 08 Ireland Dublin
Root Cause Analysis and MI
Chairman
Colm McDonnell
Partner, Enterprise Risk Services
Deloitte & Touche

Clarence Hotel, Wellington Quay (map)
Discussion Topics
• Benchmarking study: results summary
• Capturing complaints and feedback data
• Service levels and staff incentives
• Root cause analysis processes
• MI: demonstrating progress and value
• Managing complaints volumes
• Driving cultural change


Click here for event summary (pdf)
Sponsors - CDC Respond
 
22nd Sep 08 Financial Promotions Edinburgh
Financial Promotions
Chairman
Jeremy Fraser
Partner
Brodies

Balmoral Hotel, Princes St (map)
Discussion Topics
• Retail Distribution Review
• Treating Customers Fairly
• FSA ARROW visit feedback
• Dual branding and third-party distributor documentation
• Own initiative variation of permissions
• Other issues raised by delegates

Click here for event summary (pdf)
 
22nd Sep 08 Complaints Handling London
Complaints Handling
Chairman
Jenny Clayton
Director
Ernst & Young

Tower 42, 25 Old Broad Street (map)
Discussion Topics
• TCF MI: feedback from benchmarking exercise
• Responses to FSA paper on transparency
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Ernst & Young and CDC Respond
 
15th Sep 08 Operational Risk London
Operational Risk
Chairman
Nick Lane
Financial Services Manager
Risk and Advisory Services
BDO Stoy Hayward

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Operational risk hedging
• Short selling
• Valuation of illiquid instruments
• Integrated risk and finance
• Operational risk and process engineering
• Issues raised by members


Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle
 
15th Sep 08 Compliance - Scotland Edinburgh
Data Security: Assessing Risks
Chairman
Richard Neave
Director
PricewaterhouseCoopers

Balmoral Hotel, Princes St (map)
Discussion Topics
• Managing internal systems and controls
• Staff policies procedures
• Culture
• Corporate governance
• Managing third party data risk
• Due diligence
• Identity theft
• Customer experience, creating a balance
• Issues raised by members

Click here for event summary (pdf)
 
8th Sep 08 Private Wealth Management London
Private Wealth Management
Chairman
Scott Soper
Senior Manager, Risk and Regulatory
Grant Thornton

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Market conditions and customer confidence
• TCF
• Structured products
• Disclosure and Transparency Regime: monitoring
• Issues raised by members

Click here for event summary (pdf)
 
8th Sep 08 Retail - North Leeds
Data Security: Assessing Risks
Chairman
Sian Herbert
Partner
PricewaterhouseCoopers

Radisson, Number 1, The Light (map)
Discussion Topics
• Managing internal systems and controls
• Staff policies procedures
• Culture
• Corporate governance
• Managing third party data risk
• Due diligence
• Identity theft
• Customer experience, creating a balance
• Issues raised by members

Click here for event summary (pdf)
 
28th Jul 08 Financial Promotions London
Financial Promotions
Chairman
Peter Snowdon
Partner
Norton Rose

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Retail Distribution Review: impact on promotions
• Impact of ICOB and principles-based regulation
• TCF deadlines
• Dual branding and third party distributor documentation
• Own-initiative variation of permission
• Open Market Option disclosure
• Issues raised by members


Click here for event summary (pdf)
 
28th Jul 08 Complaints Handling Manchester
Complaints Handling
Chairman
Cathryn Rees
Senior Consultant
Huntswood

The Radisson Hotel, Peter Street (map)
Discussion Topics
• TCF MI
• Industry trends
• Quality checking and monitoring
• Customer communication methods
• Reducing complaint volumes
• Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond
 
21st Jul 08 Financial Crime London
Financial Crime
Chairman
Karen Briggs
Partner
Head of Financial Services, Forensic
KPMG

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Cross-sector co-operation
• Insider fraud
• Risk managent
• Sanctions
• Other issues


Click here for event summary (pdf)
Sponsors - KPMG
 
21st Jul 08 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Outsourcing
• Technology risk
• Solvency II
• Profits from operational errors
• Issues raised by members


Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward & Oracle
 
21st Jul 08 Compliance - Scotland Edinburgh
TCF: Embedding
Chairman
Chris Terry
Director
Deloitte

Balmoral Hotel, Princes St (map)
Discussion Topics
• Meeting the December deadline
• Senior management responsibilities
• Effecting a cultural change
• Evidencing the six outcomes
• TCF and regulatory enforcement
• Generating and evidencing MI
• Issues raised by members


Click here for event summary (pdf)
Sponsors - Deloitte
 
14th Jul 08 Private Wealth Management London
Private Wealth Management
Chairman
Anthony Kirby
Director
Ernst & Young

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Industry trends
• TCF update
• MI
• Data security
• Internal fraud
• Hold mail accounts
• Issues raised by members


Click here for event summary (pdf)
 
14th Jul 08 Retail - North Manchester
TCF: Embedding
Chairman
Rob Hayes
Consultant
Provience

Radisson Hotel, Peter St (map)
Discussion Topics
• Meeting the December deadline
• Senior management responsibilities
• Effecting a cultural change
• Evidencing the six outcomes
• TCF and regulatory enforcement
• Generating and evidencing MI
• Issues raised by members


Click here for event summary (pdf)
 
7th Jul 08 Asset Management London
TCF: Embedding
Chairman
Dominic Hill
Partner
Lovells

Guest Contributor
Andy Maysey
Senior Adviser, Retail Distribution
Investment Management Association

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Meeting the December deadline
• Senior management responsibilities
• Effecting a cultural change
• Evidencing the six outcomes
• TCF and regulatory enforcement
• Generating and evidencing MI
• Issues raised by members

Click here for event summary (pdf)
 
23rd Jun 08 Complaints Handling London
Complaints Handling
Chairman
Eric Leenders
Executive Director
British Bankers Association

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Measuring customer satisfaction
• Information security
• Reportable complaints
• PPI thematic review
• TCF update; FSA feedback
• Issues raised by members



Click here for event summary (pdf)
Sponsors - CDC Respond
 
23rd Jun 08 Financial Promotions Edinburgh
Financial Promotions
Chairman
Jeremy Fraser
Partner
Brodies

Balmoral Hotel, Princes St (map)
Discussion Topics
• Past Performance; brand advertising
• UCITS
• MCOB
• Legislation; Unfair Commercial Practice Directive
• Promotion of structured products
• Issues raised by members

Click here for event summary (pdf)
 
16th Jun 08 Compliance - Scotland Edinburgh
MI: Mission Impossible?
Chairman
Tim Kirk
Managing Director
The Kirk Consultancy

Guest Contributor
Jim Burns
CTO Financial Services UK
Microsoft

Balmoral Hotel, Princes St (map)
Discussion Topics
• Collecting the right information
• Data analysis
• Instigating and evidencing change
• Ownership
• TCF and corporate culture
• Issues raised by members


Click here for event summary (pdf)
Sponsors - Microsoft
 
16th Jun 08 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Financial crime governance
• Change management
• Forward-looking risk management
• Incentives and risk
• Educating the board
• Issues raised by members



Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle
 
16th Jun 08 Financial Crime London
Financial Crime
Chairman
Brian Dilley
Head of EMEA AML Services
KPMG

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Financial crime risk management: approach and implementation
• Data Leakage: security controls and facilitating fraud
• Financial Crime: cross-organisational and cross-border coordination
• Developments in financial and economic sanctions
• Bribery and Corruption
• Issues raised by members


Click here for event summary (pdf)
Sponsors - KPMG
 
9th Jun 08 Retail - North Leeds
MI: Mission Impossible?
Chairman
Andrew Howgego
Senior Manager
KPMG

Radisson Hotel, No 1, The Light (map)
Discussion Topics
• Collecting the right information
• Data analysis
• Instigating and evidencing change
• Ownership
• TCF and corporate culture
• Issues raised by members


Click here for event summary (pdf)
 
2nd Jun 08 Asset Management London
MI: Mission Impossible?
Chairman
Andrew Wheeler
Principal Consultant
Huntswood

Tower 42, 25 Old Broad St (map)
Discussion Topics
• Collecting the right information
• Data analysis
• Instigating and evidencing change
• Ownership
• TCF and corporate culture
• Issues raised by members

Click here for event summary (pdf)
 
27th May 08 Complaints Handling Manchester
Complaints Handling
Chairman
Naomi King
Clearconcepts

Radisson Hotel, Peter St
Discussion Topics
• FOS Jurisdiction
• The Hunt Review
• Information Security
• Root Cause Analysis Progress
• Feedback from FSA visits
• TCF Update
• Issues raised by members


Click here for event summary (pdf)
Sponsors - CDC Respond
 
27th May 08 Financial Promotions London
Financial Promotions
Chairman
Dominic Hill
Partner
Lovells

Tower 42, 25 Old Broad St
Discussion Topics
• Past Performance; brand advertising
• UCITS
• MCOB
• Legislation; Unfair Commercial Practice Directive
• Promotion of structured products
• Issues raised by members


Click here for event summary (pdf)
 
19th May 08 Compliance - Scotland Edinburgh
Financial Crime
Chairman
David Buchanan-Cook
Manager, Forensic Financial Services
KPMG

Guest Contributor
Jim Burns
CTO Financial Services
Microsoft UK

Balmoral Hotel, Princes St
Discussion Topics
Identity Theft
• Phishing
• Related fraud
• Protection in products
Data Security
• Validation; telephone verification
• Regulatory approach
Customer Feedback
• Security vs. experience
Credit Crunch
Mortgage Fraud
Internal Crime
SOCA reporting
Issues raised by members

Click here for event summary (pdf)
Sponsors - Microsoft
 
19th May 08 Operational Risk London
Operational Risk
Chairman
George Quigley
Partner
BDO Stoy Hayward

Tower 42, 25 Old Broad St
Discussion Topics
• Enterprise risk management
• Risk and control self-assessment
• External event analysis
• Impact of Treating Customers Fairly
• Issues raised by members



Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle
 
19th May 08 Financial Crime London
Financial Crime
Chairman
David Hicks
Partner, Forensic
KPMG LLP

Tower 42, 25 Old Broad St
Discussion Topics
• FCPA: global approach to bribery and corruption
• Anti-corruption - reinventing KYC
• Sanctions
• Data security risks
• Issues raised by members


Click here for event summary (pdf)
Sponsors - KPMG
 
12th May 08 Retail - North Manchester
Financial Crime
Chairman
Brian Marks
Senior Manager, Forensic Financial Services
KPMG

Radisson Hotel, Peter St (map)
Discussion Topics
Identity Theft
• Phishing
• Related fraud
• Protection in products
Data Security
• Validation; telephone verification
• Regulatory approach
Customer Feedback
• Security vs. experience
Credit Crunch
Mortgage Fraud
Internal Crime
SOCA reporting
Issues raised by members

Click here for event summary (pdf)
 
12th May 08 Private Wealth Management London
Private Wealth Management
Chairman
John Liver
Partner
Ernst & Young

Tower 42, 25 Old Broad St
Discussion Topics
• TCF implementation experiences
• MI in the business
• Current industry trends
• Governance and SYSC rules
• Fraud
• Anti-money laundering
• Working with intermediaries
• Issues raised by members



Click here for event summary (pdf)
 
6th May 08 Asset Management London
MiFID: Embedding and Training
Chairman
Rob Nieves
Director, Business Risk
Protiviti

Tower 42, 25 Old Broad St
Discussion Topics
• MiFID update: exemptions for non-MiFID business
• Best execution
• Outsourcing
• Inducements
• Conflicts of interest
• Client categorisation
• Europe- ongoing implementation issues
• Issues raised by members




Click here for event summary (pdf)
 
28th Apr 08 Financial Promotions Edinburgh
Financial Promotions
Chairman
Jeremy Fraser
Partner
Brodies

Balmoral Hotel, Princes St
Discussion Topics
• TCF update
• Web-based promotions
• Complex charging structures
• Outsourcing
• Key Facts Documents
• Legacy products
• Electronic provision of product literature
• Issues raised by members

Click here for event summary (pdf)
 
28th Apr 08 Complaints Handling London
Complaints Handling
Chairman
Rod Hepple-Wilson
Director
Mazars

Tower 42, 25 Old Broad St
Discussion Topics
• Implications of bank charges ruling
• Complaints volumes
• Triage processes: best practice
• TCF update
• FSA enforcement
• Qualitative complaints MI
• Issues raised by members


Click here for event summary (pdf)
Sponsors - Mazars & CDC Respond
 
21st Apr 08 Compliance - Scotland Edinburgh
PPI: Managing the Impact
Chairman
Sarah Willison
Consultant

Balmoral Hotel, Princes St
Discussion Topics
• Product design
• Pricing
• Market entry; distribution
• Remuneration
• Sales process; advice
• FOS; managing responses
• Appetite for change
• Repayment programmes
• Risk management
• Issues raised by members

Click here for event summary (pdf)
 
21st Apr 08 Operational Risk London
Operational Risk
Chairman
Thomas Wenzel
UK Head of Risk Management
BearingPoint

Tower 42, 25 Old Broad St
Discussion Topics
• Firms’ top 5 KRIs
• Ownership of the ICAAP process
• New products process
• Governance
• COSO / COBIT: outstanding audit issues
• Issues raised by members

Click here for event summary (pdf)
Sponsors - BearingPoint & Oracle
 
21st Apr 08 Financial Crime London
Financial Crime
Chairman
Brian Dilley
EMEA Head of AML Services
KPMG

Tower 42, 25 Old Broad St
Discussion Topics
Financial Crime Systems and Controls/Risk
Management
• Shaping an approach to financial crime
• Strategies and policies
• Governance: an approach to financial crime and control framework
• Joined-up financial control approach: fraud; money laundering; market abuse; FCPA (Bribery and Corruption)
• Financial crime risk assessment
• Industry benchmarking

Impact of Organised Crime
• Internal threats
• External threats
• Recent industry examples

Identity Theft
• KYC, KYE
• Data mining
• Profiling

IT Security
• Consolidation of IT fraud risk
• Integration into overall crime approach
• Recent cases
• Regulatory approach

Trading Fraud
• Recent examples; soft and hard issues
• Controls

Click here for event summary (pdf)
Sponsors - KPMG
 
14th Apr 08 Retail - North Leeds
PPI: Managing the Impact
Chairman
Andrew James
Principal Consultant
PricewaterhouseCoopers

Radisson Hotel, No 1, The Light
Discussion Topics
• Product design
• Pricing
• Market entry; distribution
• Remuneration
• Sales process; advice
• FOS; managing responses
• Appetite for change
• Repayment programmes
• Risk management
• Issues raised by members

Click here for event summary (pdf)
 
14th Apr 08 Asset Management - MiFID London
Asset Management - MiFID
Chairman
Naomi King
Clearconcepts

The City Club, 19 Old Broad St
Discussion Topics
MiFID
• Evidencing to the regulator
• Record keeping, telephone recording

TCF and Principles-Based Regulation
• MI
• Recording decision-making processes
• Product review and disclosure
• Ongoing monitoring/ risk-based approach

UCITS/Eligible Assets Directive

Issues raised by members

Click here for event summary (pdf)
 
14th Apr 08 Investment Banking - MiFID London
Investment Banking - MiFID
Chairman
Angela Teke
Director of Compliance
UBS

The City Club, 19 Old Broad St
Discussion Topics
• Post deadline implementation experiences
• Impact of MiFID on the business
• TCF and MiFID
• Client Consent
• MiFID upcoming issues for 2008
• Current market turmoil: impact on MiFID
• Issues raised by members

Click here for event summary (pdf)
 
14th Apr 08 Private Wealth Management London
Private Wealth Management
Chairman
Patrick Storey
Partner
Grant Thornton


Guest Contributor
Emma Noble
Senior Solicitor
Brodies

Tower 42, 25 Old Broad St
Discussion Topics
• Treating Customers Fairly
• MI
• Retail Distribution Review
• Platforms: FSA update; principles-based regulation
• Wealth management: current trends
• Market volatility
• MiFID: suitability / appropriateness
• MiFID: transaction reporting
• Issues raised by members

Click here for event summary (pdf)
 
7th Apr 08 Asset Management London
UCITS 3
Chairman
Julian Bartlett
Partner
Grant Thornton

Tower 42, 25 Old Broad St
Discussion Topics
• Product development
- Disclosure
- Monitoring
- Performance
• New instrument development process
• Risk appetite
• Recording the decision-making process
• Risk management systems
• Issues raised by members

Click here for event summary (pdf)
 
25th Mar 08 Complaints Handling Manchester
Complaints Handling
Chairman
Elliot Dunseath
Manager, Regulatory Practice
Ernst & Young

Radisson Hotel, Peter St
Discussion Topics
• TCF: meeting the deadline
• Charging redress payments back to the business
• Targeting complaints handlers
• Discrimination complaints
• The FOS focus on PPI
• Qualitative complaints MI
• Issues raised by members

Click here for event summary (pdf)
Sponsors - CDC Respond
 
25th Mar 08 Financial Promotions London
Financial Promotions
Chairman
Patrick Brandt
Partner, Financial Services
Dundas & Wilson

Tower 42, 25 Old Broad St
Discussion Topics
• TCF update
• Web-based promotions
• Complex charging structures
• Outsourcing
• Key Facts Documents
• Legacy products
• Electronic provision of product literature
• Issues raised by members


Click here for event summary (pdf)
 
17th Mar 08 Compliance - Scotland Edinburgh
Working with Principles
Chairman
Serena Joseph
Partner
Mazars

Balmoral Hotel, Princes St
Discussion Topics
• Monitoring and auditing
• The changing role of compliance
• Remuneration
• Changing culture: outcomes & opportunities
• Internal standards: consistency across the business
• Evidencing to the FSA
• Senior management buy-in
• Education and training
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Mazars
 
17th Mar 08 Operational Risk London
Operational Risk
Chairman
Stephen Kelly
Senior Manager, Financial Services Group
Grant Thornton

Tower 42, 25 Old Broad St
Discussion Topics
• Horizon risks; futureologists
• KRI's; reactive dashboards
• Risk appetite
• ICAAPs; learnings and approaches
• Risk alignment; creating a level playing field
• Working with principles-based regulation
• Widening the operational risk community
• Issues raised by members


Click here for event summary (pdf)
Sponsors - Grant Thornton & Oracle
 
10th Mar 08 Retail - North Manchester
Working with Principles
Chairman
Richard Adnett
Director
PricewaterhouseCoopers

Radisson Hotel, Peter St
Discussion Topics
• Monitoring and auditing
• The changing role of compliance
• Remuneration
• Changing culture: outcomes & opportunities
• Internal standards: consistency across the business
• Evidencing to the FSA
• Senior management buy-in
• Education and training
• Issues raised by members

Click here for event summary (pdf)
Sponsors - PricewaterhouseCoopers
 
10th Mar 08 Asset Management - MiFID London
Asset Management - MiFID
Tower 42, 25 Old Broad St Discussion Topics
MiFID
• MI
• Outsourcing (non EEA)
• CSAs/Cost of research

TCF
• Provider distributor relationships
• Due diligence
• Monitoring sales and consistency
• MI

FSA
• Visits and enforcement

Issues raised by members

Click here for event summary (pdf)
Sponsors - Microsoft
 
10th Mar 08 Investment Banking - MiFID London
Investment Banking - MiFID
Chairman
Simon Crown
Senior Associate
Clifford Chance

Tower 42, 25 Old Broad St
Discussion Topics
MiFID
• Transaction Reporting
• Best execution for non-listed instruments
• Disclosures/inducements
• Embedding
• MI
• FSA enforcement

TCF
• MI
• Embedding
• Financial Promotions

Issues raised by members


Click here for event summary (pdf)
 
3rd Mar 08 Asset Management London
Working with Principles
Chairman
Colleen Patterson
Management Consultant
Huntswood

Tower 42, 25 Old Broad St
Discussion Topics
• Monitoring and auditing
• The changing role of compliance
• Remuneration
• Changing culture: outcomes & opportunities
• Internal standards: consistency across the business
• Evidencing to the FSA
• Senior management buy-in
• Education and training
• Issues raised by members

Click here for event summary (pdf)
 
28th Feb 08 General Interest London
Customer Communications Workshop
Chairman
Rob Hayes
Hayes Associates

Tower 42, 25 Old Broad St
Discussion Topics

• Customer Segmentation
• The Customer Journey
• Brand Values: Internal and External Communications
• Financial Promotions: Sales & Marketing vs. Compliance
• Working with 3rd Parties
• Treating Customers Fairly


Click here for event summary (pdf)
 
25th Feb 08 Complaints Handling London
Complaints Handling
Chairman
Jenny Clayton &
Elliot Dunseath
Ernst & Young

Tower 42, 25 Old Broad St
Discussion Topics
•PPI/Default fees - Managing and predicting peaks in complaints
•SLAs - Setting and meeting achievable service levels
•Staff culture - Controlling staff responsibility and providing training
•MI - Tracking patterns of complaints; monitoring multiple complaints
•Principles-based regulation - Utilising flexibility in the new approach but maintaining service levels
•Outsourcing - Finding resource and expertise; improving effectiveness
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Ernst & Young & CDC Respond
 
25th Feb 08 Financial Promotions Edinburgh
Financial Promotions
Chairman
Aidan Campbell
Senior Associate
Dundas & Wilson

Balmoral Hotel, Princes St
Discussion Topics
• Tailoring promotions
• Risk warnings
• Capturing feedback
• Evidencing to the FSA
• TCF and working within principles-based regulations
• Issues raised by members


Click here for event summary (pdf)
 
18th Feb 08 Compliance - Scotland Edinburgh
Working with Third Parties
Chairman
Brendan Bryce
Director, Risk Assurance Services
PricewaterhouseCoopers

Guest Contributor
Emma Noble
Senior Solicitor
Brodies

Balmoral Hotel, Princes St
Discussion Topics
• Imposing/regulating TCF standards
• Due diligence
• Monitoring sales and consistency
• Outsourcing: Internal & External
• Call centres abroad: TCF compliance
• Data protection/data security
• Dealing with non-regulated third parties
• Issues raised by members

Click here for event summary (pdf)
 
18th Feb 08 Operational Risk London
Operational Risk
Chairman
Darren Munday
Associate Director
Protiviti

Tower 42, 25 Old Broad St
Discussion Topics
• Embedding operational risk practice
• Operational risk: evidencing value
• Risk convergence: realigning the business
• Pillar 3 waiver
• Future regulations; impact of 2007
• Experiences of rating agencies
• Experiences of IT tools
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Protiviti & Oracle
 
11th Feb 08 Retail - North Leeds
Distribution: Working with Third Parties
Chairman
Alastair Noble
Senior Manager, Regulatory Practice
PricewaterhouseCoopers

Radisson Hotel, No 1, The Light
Discussion Topics
• Imposing/regulating TCF standards
• Due diligence
• Measuring sales and consistency
• Outsourcing: Internal & External
• Call centres abroad: TCF compliance
• Data protection/data security
• Dealing with non-regulated third parties
• Issues raised by members


Click here for event summary (pdf)
 
11th Feb 08 Asset Management - MiFID London
Asset Management - MiFID
Chairman
Elinor Murray
Senior Manager
Ernst & Young

Tower 42, 25 Old Broad St
Discussion Topics
• MiFID/UCITS update
• Transaction Reporting
• Best Execution: evidence; reporting to clients
• Outsourcing
• TCF
• Promotions under MiFID
• Issues raised by members


Click here for event summary (pdf)
 
11th Feb 08 Investment Banking - MiFID London
Investment Banking - MiFID
Chairman
Simon Crown
Senior Associate
Clifford Chance

Tower 42, 25 Old Broad St
Discussion Topics
• Compliance monitoring
• Incorporating MiFID processes into standard monitoring
• Client classification
• FSA supervisory priorities
• MI
• Customer response/benefits
• Issues raised by members

Click here for event summary (pdf)
 
4th Feb 08 Asset Management London
Distribution: Working with Third Parties
Chairman
Scott Soper
Senior Manager, Regulatory
Grant Thornton

Tower 42, 25 Old Broad St
Discussion Topics
•Imposing/regulating TCF standards
•Due diligence
•Monitoring sales and consistency
•Outsourcing: internal & external
•Call centres abroad: TCF compliance
•Data protection/data security
•Dealing with non-regulated third parties
• Issues raised by members


Click here for event summary (pdf)
Sponsors - Grant Thornton
 
28th Jan 08 Complaints Handling Manchester
Complaints Handling
Chairman
Elliot Dunseath
Manager, Regulatory Practice
Ernst & Young

Radisson Hotel, Peter St
Discussion Topics
• TCF: consistency across the business; March deadline
• MI: reports; demonstrating progress
• FOS: Rulings; Hunt Review
• PPI: managing volumes; collecting MI
• Measuring customer satisfaction
• Issues raised by members


Click here for event summary (pdf)
Sponsors - CDC Respond
 
28th Jan 08 Financial Promotions London
Financial Promotions
Chairman
Paul Jennings
Senior Manager, Regulatory
Ernst & Young

Tower 42, 25 Old Broad Street
Discussion Topics
• Tailoring promotions
• Risk warnings
• Capturing feedback
• Evidencing to the FSA
• TCF and working within principles-based
regulations
• Issues raised by members


 
21st Jan 08 Compliance - Scotland Edinburgh
TCF: Embedding into the Business
Chairman
Andrew Shiels
Principal Advisor
KPMG

Balmoral Hotel, Princes St
Discussion Topics
• March deadline: project progress
• MI - collection and analysis
• Utilising MI in the business
• Effecting a cultural change
• TCF: post-sale
• Measuring outcomes
• Senior management buy-in
• Issues raised by members

Click here for event summary (pdf)
 
21st Jan 08 Operational Risk London
Operational Risk
Chairman
Charles Beach
Director, Risk Management
PricewaterhouseCoopers

Tower 42, 25 Old Broad St
Discussion Topics
• Indirect impacts - regulatory, reputational
• Northern Rock - lessons learned
• The extended enterprise - third parties / outsourcing
• Scenario analysis, stress testing
• Impact of the macro-economy
• Issues raised by members


Click here for event summary (pdf)
Sponsors - PricewaterhouseCoopers & Oracle
 
14th Jan 08 Retail - North Manchester
TCF: Embedding into the Business
Chairman
Rod Hepple-Wilson
Director
Mazars

Radisson Hotel, Peter St
Discussion Topics
• March deadline: project progress
• MI - collection and analysis
• Utilising MI in the business
• Effecting a cultural change
• TCF: post-sale
• Measuring outcomes
• Senior management buy-in
• Issues raised by members


Click here for event summary (pdf)
Sponsors - Mazars
 
14th Jan 08 Asset Management - MiFID London
Asset Management - MiFID
Chairman
Natasha Newbold
Senior Manager
Ernst & Young

Tower 42, 25 Old Broad St
Discussion Topics
• Project progress
• Transaction reporting
• Outsourcing
• Reporting to clients
• Best execution monitoring
• Advisory business
• TCF
• Issues raised by members

Click here for event summary (pdf)
Sponsors - Ernst & Young
 
14th Jan 08 Investment Banking - MiFID London
Investment Banking - MiFID
Chairman
Tim Rooke
Partner
Ernst & Young

Tower 42, 25 Old Broad St
Discussion Topics
• Progress in Europe
• MiFID MI
• Inducements
• Strategic review/ Creating competitive advantage
• Defining advice
• Relationship with the buy-side/ Finalising agreements
• Issues raised by members


Click here for event summary (pdf)
Sponsors - Ernst & Young
 
7th Jan 08 Asset Management London
TCF: Embedding into the Business
Chairman
Andrew Shiels
Principal Advisor
KPMG

Tower 42, 25 Old Broad St
Discussion Topics
• March deadline: project progress
• MI - collection and analysis
• Effecting a cultural change
• Measuring outcomes
• Senior management buy-in
• Principles-based regulation and the FSA
• Issues raised by members

Click here for event summary (pdf)
 
10th Dec 07 Asset Management - MiFID London
Asset Management - MiFID
Chairman
John Liver
Partner
Ernst & Young

The City Club, 19 Old Broad St
Discussion Topics
• Non-EEA clients
• Broker terms
• Transaction reporting
• Inducements
• Best execution monitoring
• Impact of MiFID
• Issues raised by members



Click here for event summary (pdf)
 
26th Nov 07 Complaints Handling London
Complaints Handling
Chairman
Paul Burwood
Senior Manager
Ernst & Young

Tower 42, 25 Old Broad St
Discussion Topics
• PPI
• FOS Rulings
• Staff Objectives and Incentives
• Quality Checking
• Customer Feedback
• Issues raised by members


Click here for event summary (pdf)
 
19th Nov 07 Operational Risk London
Operational Risk
Chairman
Richard Smith
Partner, Risk Management
PricewaterhouseCoopers

Tower 42, 25 Old Broad St
Discussion Topics
• Day-to-day best practice
• Risk appetite
• Embedding frameworks
• Advanced measurement approach
• Approved persons / SYSC
• Issues raised by members

Click here for event summary (pdf)
 
19th Nov 07 Compliance - Scotland Edinburgh
Planning for 2008
Chairman
Stuart Freebody
Senior Consultant
Huntswood Consulting

Guest Contributor
Jim Burns
CTO Financial Services
Microsoft UK

Balmoral Hotel, Princes St
Discussion Topics
• Industry Review 2007
• Retail Distribution Review
• Meeting TCF Deadlines
• Management Information
• NEWCOB & MIFID
• Challenges for 2008
• Issues raised by members


Click here for event summary (pdf)
 
12th Nov 07 Retail - North Leeds
Planning for 2008
Chairman
Stuart Freebody
Senior Consultant
Huntswood Consulting

Radisson Hotel, No 1, The Light
Discussion Topics
• Industry Review 2007
• Retail Distribution Review
• Meeting TCF Deadlines
• Management Information
• NEWCOB & MIFID
• Challenges for 2008
• Issues raised by members


Click here for event summary (pdf)
 
12th Nov 07 Asset Management - MiFID London
Asset Management - MiFID
Chairman
John Liver
Partner
Ernst & Young

Tower 42, 25 Old Broad St
Discussion Topics
• Transaction reporting
• Client money
• Order execution policy
• Exported PM/Trading to non-EEA jurisdictions
• Broker Communications
• Issues raised by members


Click here for event summary (pdf)
 
12th Nov 07 Investment Banking - MiFID London
Investment Banking - MiFID
Chairman
Tim Rooke
Partner
Ernst & Young

Guest Contributor
Chris Bates
Partner
Clifford Chance

Tower 42, 25 Old Broad St
Discussion Topics
• MiFID progress update
• Non-UK developments
• The perimeter of MiFID / Non-MiFID
• Inducements
• Broker communications
• Issues raised by members

Click here for event summary (pdf)
 
6th Nov 07 Mid-Tier Buy-Side - MiFID London
Mid-Tier - MiFID
Chairman
Rob Nieves
Director, Business Risk
Protiviti

Tower 42, 25 Old Broad St
Discussion Topics
• Principles based approach
• Post implementation review
• Client's experience of MiFID
• Broker communications
• Training
• Transaction reporting updates
• Issues raised by members

Click here for event summary (pdf)
 
6th Nov 07 Mid-Tier Sell-Side - MiFID London
Mid-Tier - MiFID
Chairman
Rob Nieves
Director, Business Risk
Protiviti

Tower 42, 25 Old Broad St
Discussion Topics
• Principles based approach
• Post implementation review
• Client's experience of MiFID
• Broker communications
• Training
• Transaction reporting updates
• Issues raised by members

Click here for event summary (pdf)
 
5th Nov 07 Asset Management London
Planning for 2008
Chairman
Scott Soper
Senior Manager
Grant Thornton

Tower 42, 25 Old Broad St
Discussion Topics
• Industry Review 2007
• Retail Distribution Review
• Meeting TCF Deadlines
• Management Information
• NEWCOB & MIFID
• Challenges for 2008
• Issues raised by members


Click here for event summary (pdf)
 
22nd Oct 07 Complaints Handling Manchester
Complaints Handling
Chairman
Elliot Dunseath
Regulatory Manager
Ernst & Young

Radisson Hotel, Peter St
Discussion Topics
• Complaints handling SLAs
• Complaints ownership
• Proposed rule change
• Training
• Aggregating complaints information
• Issues raised by members

Click here for event summary (pdf)
 
15th Oct 07 Compliance - Scotland Edinburgh
Principles-Based Regulation
Chairman
Andrew Shiels
Principle Adviser
KPMG

Balmoral Hotel, Princes St
Discussion Topics
• Embedding Principles
• Cultural Change
• Senior Management Buy-in
• Issues raised by members

Click here for event summary (pdf)
 
8th Oct 07 Asset Management - MiFID London
Asset Management - MiFID
Chairman
John Liver
Partner
Ernst & Young

Guest Contributor
Rob Cain
Senior Associate, Banking & Finance
Clifford Chance

Tower 42, 25 Old Broad St
Discussion Topics
• Fund Issues in IMA Letter
• Progress on Best Execution
• Broker Communications
• Issues raised by members

Click here for event summary (pdf)
 
8th Oct 07 Investment Banking - MiFID London
Investment Banking - MiFID
Chairman
Matthew Oswald
Partner
Ernst & Young

Guest Contributor
Richard Withers
Lawyer
Clifford Chance

Tower 42, 25 Old Broad St
Discussion Topics
• Project Progress
• Non UK Regulatory Developments
• How regulatory responses develop in 2008
• Issues raised by members

Click here for event summary (pdf)
 
8th Oct 07 Retail - North Manchester
Principles-Based Regulation
Chairman
Rob Hayes
Consultant
Hayes Associates

Midland Hotel, 16 Peter St
Discussion Topics
• Embedding Principles
• Cultural Change
• Senior Management Buy-in
• Issues raised by members

Click here for event summary (pdf)
 
2nd Oct 07 Mid-Tier Buy-Side - MiFID London
Mid-Tier Buy-Side - MiFID
Chairman
Rob Nieves
Consultant
Protiviti

Tower 42, 25 Old Broad St
Discussion Topics
• Transaction reporting
• European branches
• Telephone recording
• Suitability and appropriateness
• Project progress
• Post-MiFID impact
• Issues raised by members

Click here for event summary (pdf)
 
1st Oct 07 Asset Management London
Principles-Based Regulation
Chairman
Joe Chiaro
Senior Consultant
Beachcroft

Guest Contributor
Jim Burns
CTO Financial Services
Microsoft UK

Tower 42, 25 Old Broad St
Discussion Topics
• Embedding principles
• Cultural change
• Senior management buy-in
• Issues raised by members

Click here for event summary (pdf)
 
24th Sep 07 Complaints Handling London
Complaints Handling
Chairman
Paul Burwood
Manager, Regulatory Risk Practice
Ernst & Young

Jenny Clayton
Director, Regulatory Practice
Ernst & Young

Tower 42, 25 Old Broad St
Discussion Topics
• Incentive schemes
• Training
• Evidencing to the FSA and FOS
• Complaints MI
• Industry trends
• Issues raised by members

Click here for event summary (pdf)
 
17th Sep 07 Compliance - Scotland Edinburgh
Complaints Handling Analysis and MI
Chairman
Jenny Clayton
Director FS Regulatory Practice
Ernst & Young

Balmoral Hotel, Princes St
Discussion Topics
• How do firms retain consistency of analysis?
• How can complaints MI be used to effectively raise the profile of complaints?
• How can complaints data be used as customer feedback throughout the firm?
• Issues raised by members

Click here for event summary (pdf)
 
10th Sep 07 Investment Banking - MiFID London
Investment Banking - MiFID
Chairman
Munib Ali
Senior Manager
Ernst & Young

Guest Contributor
Chris Bates
Partner
Clifford Chance

LSE, 10 Paternoster Sq
Discussion Topics
• Record keeping
• Client reporting
• Transaction reporting
• Approved persons/passporting
• European rules
• Working with buy-side firms
• Issues raised by members

Click here for event summary (pdf)
 
10th Sep 07 Asset Management - MiFID London
Asset Management - MiFID
Chairman
John Liver
Partner
Ernst & Young

Guest Contributor
Rob Cain
Senior Associate
Clifford Chance

Tower 42, 25 Old Broad St
Discussion Topics
• FSA’s view of Nov 1st shortcomings
• Cross border issues
• Inducements
• Best execution
• Broker terms
• Client consent
• Issues raised by members

Click here for event summary (pdf)
 
10th Sep 07 Retail - North Leeds
Improving Financial Promotions
Chairman
Ashley Carter
Chief Executive, Regulatory Outsourcing
Grant Thornton

Radisson Hotel, No 1, The Light
Discussion Topics
• Will a greater focus on principles-based regulation allow firms more or less scope and flexibility for marketing?
• How do firms measure the average target group in order to closely tailor promotions and risk warnings to the intended consumer?
• How can compliance data and MI be used to monitor the success of a campaign?
• Issues raised by members

Click here for event summary (pdf)
 
5th Sep 07 Mid-Tier Sell-Side - MiFID London
Mid-Tier Sell-Side - MiFID
Chairman
Bob Fuller
CEO
Equiduct

Great Eastern, 40 Liverpool St
Discussion Topics
• FSA enforcement
• Record keeping
• Outsourcing
• Transaction reporting
• Best execution
• New execution venues
• Investment research
• Issues raised by members

Click here for event summary (pdf)
 
4th Sep 07 Mid-Tier Buy-Side - MiFID London
Mid-Tier Buy-Side - MiFID
Chairman
Clare Vincent-Silk
Consultant
Investit

Tower 42, 25 Old Broad St
Discussion Topics
• Best execution
• Client communications
• Inducements
• Suitability and appropriateness
• Transaction reporting
• Issues raised by members

Click here for event summary (pdf)
 
3rd Sep 07 Asset Management London
Improving Financial Promotions
Chairman
Sarah Willison
Consultant

Guest Contributor
Richard Lawes
Senior Associate
FSA

Tower 42, 25 Old Broad St
Discussion Topics
• Will a greater focus on principles-based regulation allow firms more or less scope and flexibility for marketing?
• How can firms achieve a balance between key marketing messages and the associated risks?
• How can compliance data and MI be used to monitor the success of a campaign?
• Issues raised by members

Click here for event summary (pdf)
 
13th Aug 07 Asset Management - MiFID London
Asset Management - MiFID
Chairman
Natasha Newbold
Senior Manager Regulatory Practice
Ernst & Young

Guest Contributor
Richard Withers
Associate
Clifford Chance

Great Eastern, 40 Liverpool St
Discussion Topics
• Repapering
• Trade and transaction reporting
• Client consent
• Issues raised by members

Click here for event summary (pdf)
 
13th Aug 07 Investment Banking - MiFID London
Investment Banking - MiFID
Chairman
Tim Rooke
Partner, Regulatory Practice
Ernst & Young

Munib Ali
Senior Manager
Ernst & Young

Guest Contributor
Chris Bates
Partner
Clifford Chance

Tower 42, 25 Old Broad St
Discussion Topics
• Record keeping
• Repapering
• Training
• Inducements
• Issues raised by members

Click here for event summary (pdf)
 
7th Aug 07 Mid-Tier Buy-Side - MiFID London
Mid-Tier Buy-Side - MiFID
Chairman
Alan Jenkins
European Head of MiFID
BearingPoint

Tower 42, 25 Old Broad St
Discussion Topics
• Best execution
• Inducements
• Risk disclosure
• Issues raised by members

Click here for event summary (pdf)
 
1st Aug 07 Mid-Tier Sell-Side - MiFID London
Mid-Tier Sell-Side - MiFID
Chairman
Alan Jenkins
European Head of MiFID
BearingPoint

Tower 42, 25 Old Broad St
Discussion Topics
• Progress on policies
• Client classification
• Staff training / senior management responsibility
• Suitability and appropriateness
• TCF
• FSA enforcement
• Issues raised by members

Click here for event summary (pdf)
 
23rd Jul 07 Compliance - Scotland Edinburgh
TCF: Overhead or Differentiator
Chairman
Tim Kirk
Managing Director
The Kirk Consultancy

Balmoral Hotel, Princes St
Discussion Topics
• How can firms maximise compliance and customer service?
• How can firms gather information from customers without being needlessly intrusive?
• What are the key drivers for an overall customer experience?
• What are the key internal touch points for changing culture to improve the customer experience?
• Issues raised by members

Click here for event summary (pdf)
 
9th Jul 07 Investment Banking - MiFID London
Investment Banking - MiFID
Chairman
John Neasham
Senior Manager
Ernst & Young



Guest Contributor
Tim Plews
Partner
Clifford Chance

Richard Withers
Associate
Clifford Chance

Tower 42, 25 Old Broad St
Discussion Topics
• Repapering
• Best Execution/Prior Express Consent
• Advice/Suitability
• Post-MiFID landscape
• Home / Host issues
• Inducements
• Issues raised by members

Click here for event summary (pdf)
 
9th Jul 07 Asset Management - MiFID London
Asset Management - MiFID
Chairman
Natasha Newbold
Senior Manager Regulatory practice
Ernst & Young

Guest Contributor
Rob Cain
Senior Associate
Clifford Chance

Tower 42, 25 Old Broad St
Discussion Topics
• Inducements
• Conflicts policies
• Suitability and appropriateness
• Outsourcing
• Non-EEA jurisdictions
• Trade and transaction reporting
• Issues raised by members

Click here for event summary (pdf)
 
9th Jul 07 Retail - North Manchester
Complaints Handling: Customer Feedback
Chairman
Rod Hepple-Wilson
Senior Manager, Business Recovery
Mazars

Radisson Hotel, Peter St
Discussion Topics
• How can complaints data be used as customer feedback throughout the firm?
• How can complaints teams get feedback from complainants without causing undue distress?
• How do firms measure success?
• What do customers consider important in the complaints process?
• Issues raised by members

Click here for event summary (pdf)
 
4th Jul 07 Mid-Tier Sell-Side - MiFID London
Mid-Tier Sell-Side - MiFID
Chairman
John Neasham
Senior Manager
Ernst & Young

Tower 42, 25 Old Broad St
Discussion Topics
• Transaction reporting
• Confirms
• Conflicts
• Outsourcing
• Best Execution
• COB
• Issues raised by members

Click here for event summary (pdf)
 
3rd Jul 07 Mid-Tier Buy-Side - MiFID London
Mid-Tier Buy-Side - MiFID
Chairman
Richard Thornton
Associate Partner
PA Consulting

Great Eastern, 40 Liverpool St
Discussion Topics
• Transaction reporting
• Conflicts of interest
• Outsourcing
• Issues raised by members

Click here for event summary (pdf)
 
2nd Jul 07 Asset Management London
Complaints Handling: Customer Feedback
Chairman
Ashley Carter
Chief Executive, Regulatory Outsourcing
Grant Thornton



Tower 42, 25 Old Broad St
Discussion Topics
• How can complaints data be used as customer feedback throughout the firm?
• How can complaints teams get feedback from complainants without causing undue distress?
• How do firms measure success?
• What do customers consider important in the complaints process?
• Issues raised by members

Click here for event summary (pdf)
 
18th Jun 07 Compliance - Scotland Edinburgh
Customer Communications: Launching New Products
Chairman
Sarah Willison
Consultant

Balmoral Hotel, Princes St
Discussion Topics
• Will a greater focus on principles-based regulation allow firms more or less scope and flexibility for marketing?
• How do firms measure the average target group in order to closely tailor promotions and risk warnings to the intended consumer?
• How can firms achieve a balance between key marketing messages and the associated risks?
• How can compliance data and MI be used to monitor the success of a campaign?
• Issues raised by members

Click here for event summary (pdf)
 
11th Jun 07 Investment Banking - MiFID London
Investment Banking - MiFID
Chairman
Tim Rooke
Partner
Ernst & Young

Chris Bates
Partner
Clifford Chance

Tower 42, 25 Old Broad St
Discussion Topics
• Confirms and statements
• Inducements
• Record keeping/telephone recording
• Issues raised by members

Click here for event summary (pdf)
 
11th Jun 07 Asset Management - MiFID London
Asset Management - MiFID
Chairman
John Liver
Partner
Ernst & Young

Guest Contributor
Rob Cain
Senior Associate
Clifford Chance

Tower 42, 25 Old Broad St
Discussion Topics
• Trade and transaction reporting
• Securities trading
• Definition of inducements
• MiFID packs
• Staff training
• Issues raised by members

Click here for event summary (pdf)
 
11th Jun 07 Retail - North Leeds
Customer Communications: Launching New Products
Chairman
Mark Cullen
Principal Consultant
Huntswood Consulting

Radisson Hotel, No 1, The Light
Discussion Topics
• How can time to market be improved without detriment to customers?
• How can more complex and competitive products be simplified for the customer?
• How can marketing help generate the tools for an improved customer experience?
• Customer feedback: how can information from other areas of the firm be used to maintain an up-to-date picture of changes in customer requirements and behaviour?
• Issues raised by members

Click here for event summary (pdf)
 
4th Jun 07 Asset Management London
Customer Communications: Launching New Products
Chairman
Angus Milne
Senior Adviser
IMA

Tower 42, 25 Old Broad St
Discussion Topics
• How can time to market be improved without detriment to customers?
• How can more complex and competitive products be simplified for the customer?
• How can marketing help generate the tools for an improved customer experience?
• Issues raised by members

Click here for event summary (pdf)
 
4th Jun 07 Mid-Tier Buy-Side - MiFID London
Mid-Tier - MiFID
Chairman
Rob Nieves
Director
KPMG

The City Club, 19 Old Broad St
Discussion Topics
• Suitability and appropriateness
• MiFID benefits
• Stakeholder communications
• Best execution
• Monitoring
• Issues raised by members

Click here for event summary (pdf)
 
4th Jun 07 Mid-Tier Sell-Side - MiFID London
Mid-Tier - MiFID
Chairman
Rob Nieves
Director
KPMG

The City Club, 19 Old Broad St
Discussion Topics
• Suitability and appropriateness
• MiFID benefits
• Stakeholder communications
• Best execution
• Monitoring
• Issues raised by members

Click here for event summary (pdf)
 
21st May 07 Compliance - Scotland Edinburgh
TCF: Overhead or Differentiator?
Chairman
Rob Hayes
Consultant
Hayes Associates

Balmoral Hotel, Princes St
Discussion Topics
• How can firms ensure that marketing initiatives are compliant and retain impact and effectiveness?
• How can firms communicate better with customers without compromising the ability to make strategic and commercial judgements?
• How can firms measure return on investment from increased clarity of communications?
• How do firms obtain customer feedback on the language, layout and information provided in product literature?
• Issues raised by members

Click here for event summary (pdf)
 
14th May 07 Asset Management - MiFID London
Asset Management - MiFID
Chairman
Natasha Newbold
Senior Manager, Regulatory Practice
Ernst & Young

Tower 42, 25 Old Broad St
Discussion Topics
• MiFID scope
• Disclosure
• Inducements
• Client communications
• Best execution
• Classification
• Trade confirmations
• European agenda
• Issues raised by members

Click here for event summary (pdf)
 
14th May 07 Investment Banking - MiFID London
Investment Banking - MiFID
Chairman
Tim Rooke
Partner
Ernst & Young

Guest Contributor
Chris Bates
Partner
Clifford Chance

Ric Garvey
Senior Manager, Technical Compliance
Lloyds TSB

Tower 42, 25 Old Broad St
Discussion Topics
• Repapering
• Stakeholder communications
• Best execution
• Transaction reporting
• Issues raised by members

Click here for event summary (pdf)
 
14th May 07 Retail - North Manchester
TCF: Overhead or Differentiator?
Chairman
Andrew Howgego
Senior Manager
KPMG

Radisson Hotel, Peter St
Discussion Topics
• How can firms maximise compliance and customer service?
• How can firms gather information from customers without being needlessly intrusive?
• What are the key drivers for an overall customer experience?
• What are the key internal touch points for changing culture to improve the customer experience?
• Issues raised by members

Click here for event summary (pdf)
 
7th May 07 Asset Management London
TCF: Overhead or Differentiator?
Chairman
Sarah Herbert
Consultant
Winchester White

Tower 42, 25 Old Broad St
Discussion Topics
• How can firms maximise compliance and customer service?
• How can firms gather information from customers without being needlessly intrusive?
• What are the key drivers for an overall customer experience?
• What are the key internal touch points for changing culture to improve the customer experience?
• Issues raised by members

Click here for event summary (pdf)
 
23rd Apr 07 Compliance - Scotland Edinburgh
TCF: Managing the Provider / Distributor Relationship
Chairman
Tim Kirk
Managing Director
The Kirk Consultancy

Balmoral Hotel, Princes St
Discussion Topics
• On what basis should due diligence be carried out on partners?
• Is this necessary if the firm is FSA regulated?
• Are commercial considerations appropriate under TCF?
• How should the provider monitor sales to ensure that the right customers bought their products?
• How can firms maintain consistency through complex distribution chains?
• How much MI and commercial / sales information should partners share?
• How can this be used most effectively? What criteria should be used to measure TCF performance?
• Issues raised by members


Click here for event summary (pdf)
 
9th Apr 07 Retail - North Manchester
Complaints Handling: Analysis and MI
Chairman
Mike Harrison
Consultant
Huntswood Consulting

Radisson Hotel, Peter St
Discussion Topics
• How do firms retain consistency of analysis?
• How can complaints MI be used to effectively raise the profile of complaints?
• Staff feedback: do team leaders look for anomalies? Are staff questioned on decisions or informed of improvements as a result of persistent complaints?
• Defining best practice: how are firms measuring performance?
• Issues raised by members

Click here for event summary (pdf)
 
9th Apr 07 Investment Banking - MiFID London
Investment Banking - MiFID
Chairman
Tim Rooke
Partner
Ernst & Young

Tower 42, 25 Old Broad St
Discussion Topics
• Passporting
• Home/Host
• Advice
• Issues raised by members

Click here for event summary (pdf)
 
9th Apr 07 Asset Management - MiFID London
Asset Management - MiFID
Chairman
John Liver
Partner
Ernst & Young

Tower 42, 25 Old Broad St
Discussion Topics
• Suitability and Appropriateness
• Issues raised by members

Click here for event summary (pdf)
 
12th Mar 07 Retail - North Manchester
Fair Communications
Chairman
Rob Hayes
Consultant
Hayes Associates

Radisson Hotel, Peter St
Discussion Topics
• How can firms ensure that marketing initiatives are compliant and retain impact and effectiveness?
• How can firms communicate better with customers without compromising the ability to make strategic and commercial judgements?
• How can firms measure return on investment from increased clarity of communications?
• How do firms obtain customer feedback on the language, layout and information provided in product literature?
• Issues raised by members

Click here for event summary (pdf)
 
12th Mar 07 Asset Management - MiFID London
Asset Management - MiFID
Chairman
John Liver
Partner
Ernst & Young

Guest Contributor
Kate Turner
Head of Risk and Compliance
Newton

Tower 42, 25 Old Broad St
Discussion Topics
• Best execution
• Inducements
• Outsourcing
• Issues raised by members

Click here for event summary (pdf)
 
5th Mar 07 Asset Management London
Fair Communications
Chairman
Mervyn Taylor
Senior Manager
RSM Robson Rhodes

Tower 42, 25 Old Broad St
Discussion Topics
• TCF and fairness in customer communications
• How to capture and measure customer feedback
• How MiFID will change current practices and approaches
• How marketing and compliance departments work together
• Customer literature
• Measuring the benefit of improved customer communications
• Issues raised by members

Click here for event summary (pdf)
 
12th Feb 07 Retail - North Manchester
MiFID and NEWCOB: The Impact on Customer Relationships
Chairman
Adrian Jackson
Consultant
PricewaterhouseCoopers

Guest Contributor
Steve Barclay,
Director of Regulatory Affairs, UK
Barclays

Philip Buttifant
Director of Wholesale
BBA

Radisson Hotel, Peter St
Discussion Topics
• Principles-based regulation
• Europe
• MiFID and NEWCOB compliance
• System changes
• Issues raised by members

Click here for event summary (pdf)
 
5th Feb 07 Asset Management London
NEWCOB & MiFID: The Impact on Customer Relationships
Chairman
Graham O’Connell
Director, Advisory Financial Services
PricewaterhouseCoopers

Tower 42, 25 Old Broad St
Discussion Topics
• Projects
• Client relationships
• Suitability
• Inducements / Trail Commissions
• Conflicts
• Outsourcing
• Issues raised by members


Click here for event summary (pdf)
 
15th Jan 07 Retail - North Manchester
TCF: Managing the Provider / Distributor relationship
Chairman
Paul Jennings
Senior Manager Regulatory Practice
Ernst & Young

Radisson Hotel, Peter St
Discussion Topics
• Auditing distributors
• Defining and Maintaining Relationships
• White labelling
• Management Information
• Impact of TCF
• Issues raised by members

Click here for event summary (pdf)
 

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