3rd Annual European Compliance and Legal Conference | afme

3rd AnnualEuropean Compliance and Legal Conference

The future of regulation in a changing world

02 - 04 Oct 2019 The Westin Paris - Vendôme


For speaker opportunities please contact Shaun Jones at shaun.jones@afme.eu or on +44 (0) 20 3828 2718.

Wednesday 2 October


Registration & refreshments


Pre-conference welcome drinks reception

Thursday 3 October


Registration and refreshments


Breakfast briefing: Trends in outsourcing

  • Regulators views on outsourcing
  • EBA Guidance
  • ESMA back branching guidelines
  • Client bond building
  • Internal outsourcing

Emily Ballisat, Head of European Regulatory Change, Compliance CIB, BNP Paribas
Ollythia Bernard-Stewart, Executive Director, Compliance and Operational Risk Control, UBS


Morning plenary session
Conference opening remarks

James Kemp, Managing Director, Global FX, Technology and Operations and Policy Divisions, GFMA and AFME
Bharat Samani, Managing Director, Head of Compliance UK and Europe, BBVA


Keynote addresses:
Sebastián Albella AmigoChairman, Spanish Securities Markets Commission (CNMV)
Robert Ophèle, Chairman, Autorité des Marchés Financiers (AMF)


Panel discussion:
AI, blockchain & cryptoassets – compliance challenges for a technology-driven bank
• Keeping pace with business use of technology and development of new products
• Algorithmic trading and machine learning – how do you manage and enforce against machines?
• Supervisory expectations on the compliance function
• Opportunities to leverage technology for compliance processes

Stuart Davis, Associate, Latham & Watkins

Financial crime:
New Paradigm for European AML Supervision

Moderator: Antoine Juaristi, Partner, Herbert Smith Freehills

Isabella Fontana, Senior Director at Treasury Department,  Italy’s Ministry of Economy and Finance
Will Morgan, Group Public Affairs, Financial Crime Policy, HSBC
Valerie Tay, Executive Director, Anti-Money Laundering Department, Monetary Authority of Singapore 


Networking lunch


MiFID in-focus:
Market Structure

  • What can we expect to be covered in Mifid III
  • Market access, competition and consolidated tape as with existing MiFID II regulations.
  • Where are the pressure points following MiFID II implementation?

Moderator: Elisa Menardo, Director, Public Policy Europe and UK, Credit Suisse

Matthew Coupe, Director, Cross Asset Market Structure, Barclays

Legal issues:
Managing Internal Investigations

  • An interactive session on handling a regulatory investigation
  • Scenario based look at the various considerations
  • Focus on the overlap between regulatory issues and anti-competitive practices.

Ilaria Filippi, Director, Legal Counsel, EMEA, Sumitomo Mitsui Banking Corporation
Rob Moulton, Partner, Latham & Watkins
Jeremy Stockwell, Conduct, Compliance & Operational Risk Director, Lloyds Bank Corporate Markets




Concurrent stream sessions

MiFID in-focus:
Investor Protection

Pauline Laurent, Director of Compliance, AMAFI
Michael Phillips, Head of Compliance, Société Générale


Legal issues:
Brexit – Remaining challenges and future prospects

Marc Perrone, Partner, Linklaters

Dr. Marc Benzler, Partner, Clifford Chance
Almorò Rubin De Cervin, Head of Unit, European Commission


Financial crime:
Financial Crime technological trends

Clive Gordon, Head of Financial Crime Specialist Supervision Department, Financial Conduct Authority
Valerie Tay, 
Executive Director, Anti-Money Laundering Department, Monetary Authority of Singapore


Networking break


Afternoon plenary session

Panel discussion: Regulatory review and pipeline

Paul Andrews, Secretary General, IOSCO
Rodrigo Buenaventura, General Director of Markets, CNMV
Tilman Lüder, Head of the Securities Markets Unit, European Commission




Keynote address:
Tom Sexton, President & CEO, National Futures Association


Day one closing remarks

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



Networking Drinks

Latham & Watkins

Latham & Watkins

Friday 4 October


Registration and refreshments


Breakfast briefing: What compliance officers need to know about sustainable finance

• Regulatory initiatives – what are the views from global, European and national level on taxonomy, disclosure, integrated reporting and investor protection (under MIFID II) in the context of sustainable finance?
• Are regulators aligned and consistent in their proposals and obligations – whose advise should market participants follow?
• Do government, regulator and client expectations of ’sustainable finance’ match up?
• Best practice reporting standards – what should be expected to be included in the reports?
• Client demand for ESG investments – what are the key sustainability factors for clients and how can the risks be identified? How do clients balance stainability objectives with returns?
• What actions should governments, industry and society be responsible for in taking sustainability forward?

Martin Parkes, Managing Director, Global Public Policy Group, BlackRock
Sébastien Raspiller, Head of Financial Sector Department, French Treasury


Morning Plenary session:

Conference day two opening remarks


Global Heads of Compliance roundtable: Future of the compliance function, trends in conduct & culture

Mark Carawan, Chief Compliance Officer, Citigroup
Édouard-Malo Henry,
Group Head of Compliance, Société Générale
Lydie Hudson,
Chief Compliance Officer, Credit Suisse Group
Tracey McDermott CBE
, Group Head - Corporate Affairs, Brand and Marketing, Group Head – Conduct, Financial Crime and Compliance, Standard Chartered Bank



Keynote address:
Steven Maijoor, Chair, European Securities and Markets Authority (ESMA)


Networking break


Concurrent stream sessions
Regulation in-focus stream
IBOR alternatives

Moderator: Richard Hopkin, Managing Director, Head of Fixed Income, AFME

James Grand, Partner – Head of Global LIBOR Initiative, Simmons & Simmons
Frédérick Lacroix,
Partner, Clifford Chance
Carlos Molinas, Managing Director, Global Head of Business Compliance, Crédit Agricole CIB
Edwin Schooling Latter, Director, Financial Conduct Authority

Tilman Lüder, Head of the Securities Markets Unit, European Commission

Data workshops

Beyond GDPR

  • Published enforcement decisions
  • Reconciling PSD2 and data protection
  • Usage of data in R&D and sandboxes in the finance sector
  • Transaction data further usage
  • Data analysis and AI
  • EBA outsourcing guidelines from a data protection viewpoint


Agnes Chatellier, Head Office Regulatory Affairs, BNP Paribas
Anne Fealey, Global Head of Privacy, Citi
Patrice Navarro, Counsel Paris, Hogan Lovells


Emerging leaders’ seminar
Creating your path to senior management

Moderator: Michael Cole-Fontayn, Chairman, AFME


Raj Bahia, Head of Legal & Compliance, Europe, Middle East & Asia, Evercore
Gleennia Napper,
Vice President, Corporate Finance Compliance, Deutsche Bank
Marjan Quadir, Director, Citigroup Global Markets (Product Compliance)




Concurrent stream sessions

Regulation in- focus stream
MAR Review

Moderator: Chris Ninan, Partner, Herbert Smith Freehills

Ollythia Bernard-Stewart, Executive Director, Compliance and Operational Risk Control, UBS Investment Bank
Florence Gréau,
Head of Structuring & Execution Group - Corporate Finance, Société Générale


Data workshops: Trends in surveillance

Cliffe Allen, Director, OTC Derivatives, National Futures Association (NFA)
Paul Clulow-Phillips, Managing Director, Co-Global Head of MARK Compliance, Global Head of Capital Markets Surveillance, Société Générale
Stephen Strombelline, Managing Director, Capital Forensics


Emerging leaders’ seminar: Creating a culture of diversity & inclusion

• Building LGBT plus and BAME equality within the financial service sector
• What can banks do to be inclusive

Sharon Lewis, International debt capital markets partner Paris/UK and Head of Financial Institutions, Hogan Lovells


Networking lunch


Closing plenary session - panel discussion: Fitness and propriety

Moderator: Andrew Procter, Partner, Financial Services Regulatory, Herbert Smith Freehills

Megan Butler, Director of Supervision, Investment, Wholesale and Specialist, FCA
Seana Cunningham,
Director of Enforcement, Central Bank of Ireland
Sofia Toscano Rico, Head of Authorisation Division, ECB
Joseph Zangri, Managing Director, National Futures Association (NFA)


Keynote address:
Elisabeth Roegele, Deputy President, Federal Financial Supervisory Authority (BaFin)


Conference closing remarks