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About the conference

AFME’s 4th Annual European Compliance and Legal Virtual Conference takes place on 7-9 October 2020. It will bring together a high-level audience to engage with leading industry experts and discuss key issues shaping the legal and compliance functions in the European financial sector. Individuals will hear from the regulators on the latest developments, network with senior legal and compliance officers and discover how their peers and clients are navigating the new market landscape.

This event is designed for European legal and compliance professionals, the programme has been created by AFME members, regulators and our sponsors.

Registration fees:
AFME Member: £149 + VAT
Non-member: £249 + VAT

Multi-booking discount
• 10% off when booking 3 or more delegates at the same time
• 20% off when booking 5 or more delegates at the same time

Complimentary subject to verification:
• Regulator: promo code REGULATOR
• Press: promo code PRESS
Note: Promo codes are case sensitive

How can your business be a part of the 4th Annual European Compliance and Legal Virtual Conference?

As a partner you could:

Engage with 250+ European attendees across two days of high value content, videos, live Q&As
Interactive with polls, surveys and more from your office or home
Participate in panels on key industry topics
Sponsor hub and feature multiple pieces of content to ensure your brand and messaging is reaching the right audience
Gain visibility via our social media channels, website and bespoke promotional marketing to our database of 22,000 industry professionals
Network and connect with attendees via live-chat

Packages can be tailor-made to suit your company's aim and aspirations. To discuss particular opportunities, please contact Cheryl Chickowski at cheryl.chickowski@afme.eu or on +44 (0)20 3828 2704.

Partners

Lead Partner
Premium Partners
Partners
Associate Partner

Who attends?

  • Heads of Compliance
  • Risk Officers
  • General Counsel
  • Heads of Regulatory Affairs
  • Heads of Government Affairs
  • Financial Crime Professionals
  • MLROs
  • Data Protection Officers
  • Investors
  • Law Firms
  • Regulators
  • Policymakers
  • Central Banks
  • Data Services
  • Consultants
  • Technology Providers
  • Financial Press

Why attend?

  • Keynote speeches from heads of global financial regulators
  • A global audience of over 300 senior registrants
  • 90 leading speakers representing global banks, policymakers and regulators
  • Over 6 hours dedicated to networking in the exhibition space
  • Over 15 hours of content over three days of high-level debate and discussion

Registration enquiries

For registration enquiries, please contact Events on events@afme.eu for assistance.

Wednesday 7 October

08:30
Opening remarks
Chairs:
Bharat Samani,
Managing Director, Head of Compliance, Europe, BBVA and Co-Chair, AFME's Compliance Committee
James Kemp,
Managing Director, Global FX, Technology and Operations and Policy Divisions, GFMA and AFME
View speakers
08:45
Fireside chat
Q&A Moderator:
James Kemp,
Managing Director, Global FX, Technology and Operations and Policy Divisions, GFMA and AFME
Speaker:
Robert Ophèle,
Chairman, Autorité des Marchés Financiers (AMF)
View speakers
09:15
Networking break
09:30
Panel discussion: The Future of The Compliance Function in The Wake of Global Emergencies
  • What keeps global heads of compliance awake at night?
  • Compliance after COVID-19: lessons learnt and the way forward
Moderator:
Andrew Procter,
Partner, Herbert Smith Freehills
Speakers:
Andrew Sowter,
Chief Compliance Officer, EMEA, GB&M and CMB, HSBC
Es Nelson-Jones,
Global Head of Compliance, Natwest Markets
Seung Earm,
Head of Regulatory and Territory Office, BNP Paribas
View details & speakers
10:20
Energy break
Speaker:
Dr Jon Finn,
Founder and Managing Director, Tougher Minds and Me Power Academy
View speakers
10:40
Panel discussion: The EU Regulatory Framework for Sustainable Finance
  • Recent regulatory reforms: EU taxonomy, disclosure, European green deal and the renewed sustainable finance strategy
  • Coordination and harmonisation between EU, national and international initiatives
  • Developing transition finance and mainstreaming green products
  • The need for transparent, reliable information and adequate methodologies/metrics
  • ESG investments: key sustainability factors, short-termism and risk mitigation
Moderator:
Nicola Higgs,
Partner, Latham & Watkins
Speakers:
Dora Blanchet,
Team Leader, Convergence, European Securities and Markets Authority (ESMA)
Judson Berkey,
Managing Director, Group Head of Sustainability Regulatory Strategy, UBS
Slavka Eley,
Head of Banking Markets, Innovation and Products, European Banking Authority (EBA)
View details & speakers
11:30
Networking break
11:45
Panel discussion: Financial Crime and The New European Commission's Action Plan
  • Towards a maximum harmonisation approach in AML legislation
  • AML/CFT risks affecting wholesale markets
  • Developments in AML/CFT supervision in Europe
  • Public-private partnerships to fight financial crime
  • ‘De-risking’ and its impact on access to financial services
Moderator:
Susannah Cogman,
Partner, Herbert Smith Freehills
Speakers:
Dr Dirk Haubrich,
Head of Conduct, Payments and Consumers, European Banking Authority (EBA)
Jo Swyngedouw,
Deputy Director, Head of Financial Stability, AML Supervision and Banking Prudential Policy, National Bank of Belgium
Maria Stolpe,
Head of Group Public Affairs, Nordea
View details & speakers
12:30
Closing remarks
Speaker:
Louise Rodger,
Director, Compliance, AFME
View speakers
12:35
On demand session: Outsourcing in Financial Services
  • Overview of the AFME & Latham & Watkins reference paper designed for those in Compliance and Legal functions
  • Key risks and challenges that firms face in relation to outsourcing
  • Outsourcing in an intra-group and intra-entity context
  • Horizon scanning and the impact of Brexit
Moderator:
Anne Mainwaring,
Senior Associate, Latham & Watkins
Speakers:
Emily Henderson,
Head of Central Compliance and UK Region GA Compliance, Rothschild & Co.
Louise Rodger,
Director, Compliance, AFME
Ollythia Bernard-Stewart,
EMEA Compliance COO and Acting Head of EMEA Compliance, Wells Fargo
View details & speakers
On demand session: Regulatory Enforcement Cases
  • An overview of the current and future approaches of regulators in different EU jurisdictions
  • Strategies for interacting with the regulators and courts during the enforcement process
  • What we can learn from recent notable regulatory enforcement case in terms of emerging trends and key considerations
Moderator:
Chris Ninan,
Partner, Herbert Smith Freehills
Speakers:
Andrew George,
Queen's Counsel (QC) Barrister, Blackstone Chambers
Guillaume Hannotin,
Lawyer, Council of State and the Court of Cassation
Martin Le Touzé,
Partner, Herbert Smith Freehills
View details & speakers
13:45
End of day one

Thursday 8 October

08:30
Opening remarks
Chairs:
Alastair Stables,
Head of International Regulatory Relations, Bank of America and Co-Chair, Compliance Committee, AFME
Richard Middleton,
Managing Director, Head of Policy Division, AFME
View speakers
08:40
Panel discussion: Brexit: The Beginning of The End
  • Understanding the future relationship
  • What are the biggest remaining challenges for firms?
  • Satus of the negotiations
  • What could a deal (or no deal) mean for European financial services?
  • The UK's focus: managing onshoring and in-flight legislation
Moderator:
Caroline Dawson,
Partner, Clifford Chance
Speakers:
Arved Kolle,
Associate Director, Brexit, AFME
Caroline Boon,
Director, Strategy and Bank Structure, Legal, Barclays
Rob Price,
Deputy General Counsel, The Bank of England
View details & speakers
09:30
Networking break
09:45
Panel discussion: New Trends in Conduct and Culture
  • Measuring corporate culture: an impossible operational challenge?
  • Complexity of culture and behaviour: lessons for Senior Management
  • Covid-19: challenges and opportunities
  • An overview of the FCA’s 5 Conduct Questions report
Moderator:
Stephen Strombelline,
Managing Director, Capital Forensics
Speakers:
Alessandro Chiozzi,
Head of European Wholesale Banks Supervision, Financial Conduct Authority (FCA)
Antony Whitehouse,
UK Head of Compliance, Natixis
Leslie Coombs,
C&ORC UK and IB Head of Conduct Risk Framework, UBS
View details & speakers
10:35
Networking break
11:05
Panel discussion: How Can Culture Influence the Conduct Agenda?
  • The importance of good leadership in driving healthy cultures
  • How to ensure effective approaches to diversity and inclusion
  • What have we learnt so far and what has worked well?
  • How can firms proactively respond to what is on the horizon?
Speakers:
Catherine Brown,
Partner Member, FICC Markets Standards Board (FMSB)
Derville Rowland,
Director General, Financial Conduct, Central Bank of Ireland
Tracey McDermott,
Group Head, Corporate Affairs, Brand and Marketing, Standard Chartered Group Head - Conduct, Financial Crime and Compliance, Standard Chartered Bank
View details & speakers
11:50
Networking break
12:00
Panel discussion: The Market Abuse Regulation Under Review
  • How effective is MAR in combatting Market Abuse and where do firms face particular challenges?
  • MAR reform: ESMA’s technical advice to the Commission
  • Covid-19: how are firms and regulators responding to the new Market Abuse risks?
Moderators:
Anne Mainwaring,
Senior Associate, Latham & Watkins
Nick Bayley,
Managing Director, Compliance and Regulatory Consulting, Duff & Phelps
Speakers:
Emily Ballisat,
Solicitor, BNP Paribas
Rodrigo Buenaventura,
Market Directorate General Director, Spanish National Securities Market Commission (CNMV)
View details & speakers
12:45
Closing remarks
Speaker:
Louise Rodger,
Director, Compliance, AFME
View speakers
12:50
On demand session: IBOR Transition
  • Principles for good client communications
  • Client understanding and readiness
  • Impact of Covid-19 on transition timelines
  • The challenges ahead in 2021
Moderator:
Jeremy Walter,
Partner, Clifford Chance
Speakers:
Helen Boyd,
Manager, Trading Conduct and Settlement Policy, Financial Conduct Authority (FCA)
Katsuko Ishizeki-Chaudhari,
Head of UK Global Markets Compliance, Natixis
View details & speakers
On demand session: Recent Developments in The World of Data - What Do They Mean for Financial Services Firms?
  • Life after Schrems II: what are the implications on personal EU-US data transfers?
  • Uncertainty around EU-US data transfers under SCCs
  • Implications for personal data transfers after the end of the transition period/if the adequacy decision is not reached
  • What is the impact on firms' activities that continue to transfer data on the daily basis?
  • Lessons learned from the €50 million Google fine by CNIL
Moderator:
Vivienne Artz,
Chair, Data Workstream, International Regulatory Strategy Group (IRSG)
Speakers:
Anna Buchta,
Head of Unit, Policy and Consultation, European Data Protection Supervisor
Linda Nichualladh,
Head of Privacy (Legal) EMEA and Assistant General Counsel, Citi
View details & speakers
13:30
End of day two

Friday 9 October

08:30
Opening remarks
Speaker:
Louise Rodger,
Director, Compliance, AFME
View speakers
08:45
Keynote address
Q&A Moderator:
James Kemp,
Managing Director, Global FX, Technology and Operations and Policy Divisions, GFMA and AFME
Speaker:
Verena Ross,
Executive Director, European Securities and Markets Authority (ESMA)
View speakers
09:15
Networking break
09:30
Fireside chat
Q&A Moderator:
Elisa Menardo,
Director, Public Policy Europe and UK, Credit Suisse
Speaker:
Tilman Lüder,
Head of the Securities Markets Unit, European Commission
View speakers
10:00
Networking break
10:10
Panel discussion: MiFID Review and Investor Protection
  • Current state of play, the new sustainability framework, and the CMU
  • Proportionate calibration of the requirements
  • Inducements, research and product governance
Moderator:
Frédérick Lacroix,
Partner, Clifford Chance
Speakers:
Martin Parkes,
Managing Director, Global Public Policy Group, BlackRock
Rachel Cockshutt,
Head of Regulatory Change, Europe, Royal Bank of Canada
Simon Andrews,
Executive Director, Global Regulatory Reform, Standard Chartered
View details & speakers
11:00
Networking break
11:20
Panel discussion: MiFID In-Focus: Market Structure
  • Market access, competition, and consolidated tape
  • Market structure changes: interaction between the ESMA reports and the Commission consultation
Moderator:
Pedro Pinto,
Director, Advocacy, AFME
Speakers:
Claudia Gonzalez Cabanillas,
Executive Director, Regulatory Affairs, J.P. Morgan
Elisa Menardo,
Director, Public Policy Europe and UK, Credit Suisse
Stephen Hanks,
Manager, Financial Conduct Authority (FCA)
View details & speakers
12:10
Panel discussion: Surveillance and Governance
  • How can firms improve STOR identification/submissions?
  • Good practice for surveillance operational governance
  • Overview of EY and AFME paper on the governance of market abuse surveillance controls and STOR submissions
Moderator:
Tom Goodman,
Senior Manager, Financial Crime and Forensics, Ernst & Young
Speakers:
Sébastien Boetsch,
Senior Analyst, Autorité des Marchés Financiers (AMF)
Steve Clark,
Executive Director, Compliance, Morgan Stanley
View details & speakers
12:55
Closing remarks
Speaker:
Louise Rodger,
Director, Compliance, AFME
View speakers
13:00
End of conference

Keynote Speakers

Robert Ophèle

Chairman, Autorité des Marchés Financiers (AMF)

Verena Ross

Executive Director, European Securities and Markets Authority (ESMA)

Speakers

Alessandro Chiozzi

Head of European Wholesale Banks Supervision, Financial Conduct Authority (FCA)

Andrew George

Queen's Counsel (QC) Barrister, Blackstone Chambers

Andrew Procter

Partner, Herbert Smith Freehills

Anne Mainwaring

Senior Associate, Latham & Watkins

Antony Whitehouse

UK Head of Compliance, Natixis

Bharat Samani

Managing Director, Head of Compliance, Europe, BBVA

and Co-Chair, AFME's Compliance Committee

Caroline Dawson

Partner, Clifford Chance

Derville Rowland

Director General, Financial Conduct, Central Bank of Ireland

Frédérick Lacroix

Partner, Clifford Chance

James Kemp

Managing Director, Global FX, Technology and Operations and Policy Divisions, GFMA and AFME

Jo Swyngedouw

Deputy Director, Head of Financial Stability, AML Supervision and Banking Prudential Policy, National Bank of Belgium

Judson Berkey

Managing Director, Group Head of Sustainability Regulatory Strategy, UBS

Katsuko Ishizeki-Chaudhari

Head of UK Global Markets Compliance, Natixis

Leslie Coombs

C&ORC UK and IB Head of Conduct Risk Framework, UBS

Martin Le Touzé

Partner, Herbert Smith Freehills

Nick Bayley

Managing Director, Compliance and Regulatory Consulting, Duff & Phelps

Nicola Higgs

Partner, Latham & Watkins

Rodrigo Buenaventura

Market Directorate General Director, Spanish National Securities Market Commission (CNMV)

Simon Andrews

Executive Director, Group Public and Regulatory Affairs, Standard Chartered Bank

Slavka Eley

Head of Banking Markets, Innovation and Products, European Banking Authority (EBA)

Stephen Hanks

Manager, Financial Conduct Authority (FCA)

Stephen Strombelline

Managing Director, Capital Forensics

Steve Clark

Executive Director, Compliance, Morgan Stanley

Susannah Cogman

Partner, Herbert Smith Freehills

Tilman Lüder

Head of the Securities Markets Unit, European Commission

Tracey McDermott

Group Head, Corporate Affairs, Brand and Marketing, Standard Chartered

Group Head - Conduct, Financial Crime and Compliance, Standard Chartered Bank

Vivienne Artz

Chair, Data Workstream, International Regulatory Strategy Group (IRSG)