17th & 18th March 2020

Event Agenda Day 2

Event Agenda

08:10 - 08:30

Coffee and Networking Break

Coffee and Networking Break

08:30 - 08:50

Joanne Morgan, Chief Ethics and Compliance Counsel
Joanne Morgan
Chief Ethics and Compliance Counsel
Rolls Royce
Lord David Gold,
Lord David Gold
Rolls Royce

Re-defining your Ethics and Compliance Programme – Why & How?

In January 2017, after a five-year investigation, Rolls-Royce entered into deferred prosecution agreements in the UK, USA and Brazil in respect of historic corrupt conduct. A critical part of these agreements was that Rolls- Royce enhanced its ethics and compliance programme. Lord Gold, the former monitor of BAE Systems was engaged by the company in 2013 to advise on the programme, and ultimately report to the SFO in 2019 in respect of the company’s progress.

08:50 - 09:10

Amy Brookbanks, Head of Legal Operation
Amy Brookbanks
Head of Legal Operation

STREAM ONE: Smart Technology - Influencing Operational Efficiency

Even with current pushback to change, it has been widely recognised that the implementation of legal technology is the key to operational efficiency. Workload pressure within legal departments is at a consistent high and with it comes the challenges on what strategies should be employed to help correctly distribute and simplify it without cutting into valuable working hours.

In this presentation, the Head of Legal Operations, Amy Brookbanks, will cover how she worked alongside legal tech providers to develop systems to help streamline the intake process to increase productivity at Ocado.

08:50 - 09:10

Matthew Dalby, Director GBS Risk and Compliance
Matthew Dalby
Director GBS Risk and Compliance

STREAM TWO: Risk Management – A Technological Solution for Real Time Internal Risk Mitigation

The ability to manage external risks is prevalent within any organisation, but how can you effectively manage issues such as a data breach from within your organisation? Various processes have been implemented to overcome this challenge and it has been found that the easiest way to manage an identified risk is by avoiding it altogether.

Matthew Dalby will illustrate how he developed the ‘Social Engineering Programme’ within BT - a system used to deflect employees from the process in order to catch early on-set risks and strengthen their risk framework in an ethical environment.

09:15 - 09:35

Richard Fielder, Head of Compliance
Richard Fielder
Head of Compliance
ICBC Standard Bank

Principles and Methods, On How to Conceptualise, Assess and Manage Risk

Every organisation is required to embody a reliable risk analysis function. Effective systems have to be placed to identify risks within a business and develop procedures to mitigate or eliminate potential issues. However, this has proven to be particularly difficult within emerging markets, so how can you find a process that is tailored to your business needs?

In this session, Richard will explore how ICBC Standard Bank were able to put their risk framework in place, and how they worked with their IT function to tailor their framework to particular rules and parameters in order to run a reliable system.

09:35 - 09:55

Solution Provider Case Study

10:00 - 10:20

Solution Provider Case Study - Stream 1/2/3/4

10:25 - 10:55

Efficiency Brunch

Efficiency Brunch

11:00 - 12:00

Business Meetings

Business Meetings

12:00 - 12:20

Ann Keelan, Director Compliance UK Cluster
Ann Keelan
Director Compliance UK Cluster
Teva Pharmaceuticals

Creating an Ethics and Compliance Culture

An effective compliance programme requires more than policies and controls: to achieve good compliance outcomes, you must underpin systems and processes with an ethical culture. An organisation more easily operates within the law when employees at all levels stay true to the values and principles that are important to the company's business and identity. Transitioning away from a ‘compliance police’ mindset to making employees accountable is key to creating this ethos.

In this session, Ann Keelan will explore how Teva UK has built a robust compliance framework, in which the business has embraced accountability and individual employees understand their contribution to the company’s overall compliance.

12:20 - 13:00

Jan Klouda, Vice President - Legal, Risk and Corporate Security
Jan Klouda
Vice President - Legal, Risk and Corporate Security

Panel Session: Compliance Burden or Safe Harbour? A Better Look into MAR

Under the Market Abuse Regulation (MAR), organisations must now provide detailed information prior to a transaction between potential investors. A few aspects of the regulation have generated some uncertainty amongst those planning capital market transactions in the UK, whilst other have benefitted.

Please join Jan Klouda as he explores the following topics on market abuse:

  • Market soundings
  • Insider lists
  • Disclosers around investment recommendations

13:00 - 13:10

Chair’s closing remarks

13:10 - 13:25

Coffee and Networking Break - Event Close

Coffee and Networking Break - Event Close

13:10 - 14:10