12 th November 2015 Radisson Blu, Golden Lane, Dublin 8

Transcription

1 12 th November 2015 Radisson Blu, Golden Lane, Dublin 8

2 Sponsors The ACOI wish to thank all our sponsors for their support in We are grateful for their support and participation to help provide ACOI Members with events throughout the year.

3 AGENDA am Delegate Registration and Networking am Conference Opening Opening Address by Melanie Blake, Chairperson ACOI 9.10 am First Session John Berrigan European Commission, Deputy Director General for Financial Stability Financial Services and Capital Markets Union How the European Commission sees the financial system operating by 2020 and its implications for industry and compliance practitioners will be the basis of this talk. John will also refer to the recent European Commission s call for evidence in its review of the EU regulatory framework for financial services. The Commission seeks a clearer understanding of the interaction of the individual rules and cumulative impact of the legislation as a whole including potential overlaps, inconsistencies and gaps. Aidan Carrigan Assistant Secretary General, Financial Services Division, Department of Finance A background and update on the IFS Strategy 2020 which sets out a new vision and strategy for Ireland s international financial services (IFS) sector is the basis of Aidan s speech. Using the two case studies of the Banking Union and Solvency II, Aidan will illustrate the role of EU institutions in setting the EU regulatory framework for financial services with particular focus on the Department s role in transposing and exercising national discretions. Gerry Cross Director of Policy and Risk, Central Bank of Ireland The Central Bank approach to implementing regulation and its supervisory approach thereafter is the theme of Gerry s talk. Particular attention will be made to how the Bank is planning to meet Capital Markets Union convergence. Gerry will also refer to the emerging risks and issues such as IT and cybersecurity risk. Coffee Break am Second Session Joe Beashel Partner Regulatory Risk Management and Compliance, Financial Institutions, Matheson (Solicitors) Key challenges for compliance professionals in how to be pro-active about future change while dealing with immediate issues, evolving expectations of regulator and board members and the threat of enforcement will be addressed in Joe s speech. Joe will illustrate these challenges by referring to the changes included under MiFID 2 conduct risk rules and the latest Central Bank focus on governance of fund service providers and CP86. Richard Pike Independent Non-Executive Director, permanenttsb Bank plc., JP Morgan Fund Administration Services (Ireland) Limited & JP Morgan Hedge Fund Services (Ireland) Limited As an Independent Non-Executive Director, Richard will discuss his experience on how compliance management engage with the board and report to it, considering what s good and bad. Richard will also refer to future compliance technology and research which enables the board to meet its ongoing regulatory obligations. Tony Delaney Assistant Commissioner, Data Protection Commission As Head of Investigations Tony s speech will be based on his experiences over recent years of the key and topical issues that have crossed his desk. These are topics such as common complaints, high profile data breaches, prosecutions, use of private investigators and best practice for Data controller/data processor relationships. Panel Discussion pm Closing remarks pm Lunch 2.30 pm End

4 SPEAKERS First Session John Berrigan, Acting Deputy Director General, DG FISMA of the European Commission. John Berrigan is currently the Acting Deputy Director General in DG FISMA of the European Commission. John has been a Commission official since the mid-1980s and has spent much of that time working on financial-sector issues first in DG ECFIN and now in DG FISMA. He has also worked on monetary policy and exchange-rate analysis in the context of preparations for the introduction of the euro in In the mid- 1990s, he worked for several years with the International Monetary Fund. He was Commission Mission Chief for Portugal from July 2013 to November 2014 in the context of the recent economic assistance programme and has contributed to financial-sector aspects of the assistance programmes for other Member States. John has a Masters degree in economics from University College Dublin. Aidan Carrigan, Assistant Secretary General, Financial Services Division, Department of Finance Aidan Carrigan holds the position of Assistant Secretary General, Financial Services Division, at the Department of Finance. He leads a team responsible for financial services policy and managing the EU and national legislative programmes on financial services and holds the position of Vice Chairman of the Financial Services Committee of the European Council. Aidan is also responsible for oversight of and the framework for relations with the Central Bank. In recent years he has been involved in the management of the bank restructuring and recapitalisation programmes and he led the team which established NAMA. He previously held senior management positions in the Department of Justice. He holds a Trinity College degree in Administrative Science and an ACCA Diploma in Finance and Accounting. Gerry Cross, Director, Policy and Risk, Central Bank of Ireland As Director of Policy & Risk Gerry oversees the development and implementation of regulatory policy in relation to banking, insurance, funds, and securities and markets both domestically and internationally. Capital Market Union issues are part of his brief. Prior to this Gerry was Managing Director of the Association for Financial Markets in Europe (AFME), located in Brussels. Prior to that, he was Deputy Director, Regulatory Affairs at the Institute of International Finance in Washington. Gerry spent eight years in policy functions at the UK Financial Services Authority, during which period he was seconded to the European Commission for an extended period working on bank regulation. He has been Director of group credit policy at Fortis Group. A barrister by training he has practised at the Irish Bar and been a lecturer at the University of Wales, Aberystwyth. Gerry completed his law degree at UCD and his Master of Laws at Cambridge University before attending Kings Inns, Dublin.

5 SPEAKERS Second Session Joe Beashel, Partner, Regulatory Risk Management and Compliance, Financial Institutions, Matheson Joe is a partner in the Financial Institutions Group and is Head of the Regulatory Risk Management and Compliance team at Matheson. Prior to joining Matheson he worked in industry in a number of roles including as the managing director of the Irish fund administration unit of a leading international investment manager. He is a solicitor with almost twenty years experience, most of which were gained in the financial services sector. Joe is a member of the Association of Compliance Officers in Ireland and the Institute of Banking in Ireland. He co-ordinates the drafting of course materials and lectures for the Institute of Banking in Ireland. He has spoken and written on topics including the Central Bank s Fitness and Probity regime, Anti Money Laundering Law in Ireland and many others. He recently published a book, the Fitness and Probity Handbook which gathers together all the relevant materials regarding the Central Bank's new Fitness and Probity regime. Richard Pike Director, Independent Non-Executive Director, permanenttsb Bank plc., JP Morgan Fund Administration Services (Ireland) Limited & JP Morgan Hedge Fund Services (Ireland) Limited Richard has extensive experience of working with financial institutions throughout the world, assisting in managing enterprise risk more efficiently while addressing local regulatory guidelines and standards. He is currently an Independent Non-Executive Director at permanenttsb Bank plc., JP Morgan Fund Administration Services (Ireland) Limited and JP Morgan Hedge Fund Services (Ireland) Limited. In 2009, Richard was recognised as a Top 50 Face of Operational Risk by Op Risk & Compliance magazine and was a contributing author to two books on risk management. He lectures on various risk courses at the Institute of Banking in Ireland and he is also a board member of the GRCTC, which focuses on research in the area of financial services governance, risk and compliance. Richard has also received the designation of Certified Bank Director from the Institute of Banking in Ireland. Tony Delaney, Assistant Commissioner, Data Protection Tony Delaney joined the Office of the Data Protection Commissioner (ODPC) in 2006 and was appointed Assistant Commissioner with responsibility for the investigation of complaints and prosecutions. He has led a number of high profile investigations such as breaches of electronic marketing regulations in the premium rate text messaging sector and the pursuit and successful prosecution of private investigators. More recently he has established and is heading up a Special Investigations Unit in the ODPC. He has previously held a number of civil service positions in the Revenue Commissioners, Departments of Agriculture, Equality and Law Reform and Justice.

6 Trade Stand Participants

7

8 The Association of Compliance Officers in Ireland