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About the event

For the last five years, AFME’s European Compliance and Legal Conference has brought together over 250+ professionals for high-level networking and discussion. This event is designed by our members to address the most pressing issues and trends affecting the European compliance and legal industry.

The programme, comprised of specialist keynote presentations, industry expert panel discussions and interactive networking, brings together senior industry stakeholders from across Europe.

The conference is a great opportunity for attendees to gain valuable insights, hear from industry experts, earn CPD hours and make connections with fellow colleagues.

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

For group bookings, please email events@afme.eu

Complimentary subject to verification:
• Regulator: promo code REGULATOR
• Press: promo code PRESS

Note: Promo codes are case sensitive

Interested in becoming a partner of AFME’s 5th Annual European Compliance and Legal Conference?

As a partner you could:
Engage with 250+ European attendees across three days of high value content, videos and live Q&As with unparalleled exposure
Interact with polls, surveys and more
Participate in panels on key industry topics
Align with excellence and associate your brand with the leading European capital markets industry body
Gain visibility via our social media channels, website and bespoke promotional marketing to our database of 22,000 industry professionals
Network and connect with industry influencers

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 Partners
Partners
Associate Partner
Event Endorsers

Who attends?

  • Heads of Compliance
  • Heads of Regulatory Affairs
  • Heads of Government Affairs
  • Risk officers
  • General counsel
  • 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 250 senior professionals
  • 70 leading speakers representing global banks, policymakers and regulators
  • Over 3 hours dedicated to networking
  • Over 10 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 6 October

09:15
Opening remarks
Speakers:
Bharat Samani,
Managing Director, Head of Compliance, Europe, BBVA and Co-Chair, AFME's Compliance Committee
James Kemp,
Managing Director of the Global FX Division, Technology and Operations and CC&A Divisions, GFMA and AFME
View speakers
09:30
Panel discussion: Responding to New Compliance Challenges
  • What keeps global heads of compliance awake at night?
  • Compliance in a hybrid/post-covid working environment
  • New models and structures
  • Embracing innovation and technology
Moderator:
Richard Middleton,
Managing Director, AFME
Speakers:
Bernadine Reese,
Managing Director, Protiviti
Seung Earm,
Head of Regulatory and Territory Office, BNP Paribas
Valerio Cencig,
Head of Compliance Digital Transformation, Intesa Sanpaolo
View details & speakers
10:15
Networking break
10:45
Keynote address
Speaker:
Laura van Geest,
Chair, Dutch Authority for the Financial Markets (AFM)
View speakers
11:00
Moderated Q&A
Speakers:
Laura van Geest,
Chair, Dutch Authority for the Financial Markets (AFM)
Louise Rodger,
Director, Compliance, AFME
View speakers
11:15
Panel discussion: Sustainable Finance - ESG Disclosure and Sustainable Corporate Governance
  • The European regulatory agenda: directors’ duties and due diligence
  • Disclosure and conduct risks: between mitigation and exacerbation
  • Should the ESG due diligence become part of KYC process?
Moderator:
Nicola Higgs,
Partner, Latham & Watkins
Speakers:
Jon Williams,
Partner, PwC
Julie Ansidei,
Head of Strategy and Sustainable Finance Unit, Autorité des Marchés Financiers (AMF)
Michael Gaynor,
Senior Credit Research Analyst, BBVA
Pierre-Emmanuel Beluche,
Head of Sustainable Finance, Corporate Law, Accounting Standards, and Corporate Governance, French Treasury
View details & speakers
12:00
Networking break
12:15
Panel discussion: Revised Framework for Fighting Financial Crime in Europe
  • The new AML/CFT paradigm explained
  • Understanding the new AML Package - challenges and opportunities
  • Why is information sharing essential in the fight against money laundering?
Moderator:
Jose Arevalo,
Director, Compliance Governance, Regulatory Risk and Control, Commerzbank
Speakers:
Cédric Perruchot,
Head of AML Regulatory Affairs and Advocacy, BNP Paribas
Jo Swyngedouw,
Deputy Director, Financial Stability, AML Supervision and Banking Prudential Policy, National Bank of Belgium
Raluca Pruna,
Head of Financial Crime Unit, DG FISMA, European Commission
View details & speakers
13:00
On-demand session: Spotlight on Surveillance
  • Assessing the impact of COVID-19
  • Developing effective surveillance processes
  • Regulatory expectations
Moderator:
Mark Steuer,
Director, Citi
Speakers:
Jordan Domash,
General Manager, Relativity Trace
Steve Clark,
Executive Director, Morgan Stanley
View details & speakers
On-demand session: Data Protection – current priorities
  • Where are we with International data transfers?
  • European Data Protection Board - their recommendations on supplemental measures post-Schrems II
  • The European Commission’s work on Standard Contractual Clauses
Moderator:
Emmanuel Ronco,
Partner, Eversheds Sutherland
Speakers:
Efrain Castaneda Mogollon,
Privacy Counsel, OneTrust
Myriam Gufflet,
Head of Activity, Internal Legal Compliance, European Data Protection Board (EDPB) Secretariat
View details & speakers
13:45
Closing remarks
View

Thursday 7 October

08:45
Opening remarks
Speaker:
Alastair Stables,
Head of International Regulatory Relations, Bank of America and Chair, AFME's Compliance Committee
View speakers
08:50
Keynote address
Speaker:
Robert Ophèle,
Chairman, Autorité des Marchés Financiers (AMF)
View speakers
09:10
Fireside chat
Speakers:
James Kemp,
Managing Director of the Global FX Division, Technology and Operations and CC&A Divisions, GFMA and AFME
Robert Ophèle,
Chairman, Autorité des Marchés Financiers (AMF)
View speakers
09:20
Paper update: Conduct Analytics
Speakers:
Louise Rodger,
Director, Compliance, AFME
Seema Bhatnagar,
Director, Banking and Capital Markets Advisory, PwC
View speakers
09:30
Panel discussion: Conduct, Culture and Accountability
  • The journey so far
  • Regulatory expectations and industry best practice
  • Designing appropriate frameworks and measuring effectiveness
Moderator:
Isabelle Jenkins,
Head of Financial Services UK, PwC
Speakers:
Antony Whitehouse,
UK Head of Compliance, Natixis
Florian Narring,
Head of Section, Governance and risk management, DG Horizontal Line Supervision, European Central Bank (ECB)
Stephen Strombelline,
Managing Director, Capital Forensics
View details & speakers
10:15
Networking break
10:45
Panel discussion: The Post-Brexit Environment - Challenges and Future Prospects
  • The evolving EU-UK relationship in financial services (MoU, supervisory cooperation, equivalence, etc.)
  • How firms and markets have been impacted and ongoing challenges
  • How regulation is evolving and prospects for the future
Moderator:
Lucy McNulty,
City Editor, Financial News
Speakers:
Emily Southon,
Head of Financial Services Regulatory Law, Standard Chartered Bank
Pablo Portugal,
Managing Director, Advocacy, AFME
Zertasha Malik,
Head of International, Financial Conduct Authority (FCA)
View details & speakers
11:30
Speed networking break on Meetaway
12:00
Panel discussion: Leadership and Culture
  • The role of the Board in establishing culture
  • Identifying and modifying the key drivers of culture
  • Challenges and opportunities
  • Regulatory expectations
Moderator:
Michael Cole-Fontayn,
Independent Director on the Board, J.P. Morgan Securities PLC
Speakers:
Rosie Warin,
CEO, Kin&Co
Samantha Page,
Manager, Sector Team, Wholesale Bank Supervision, Financial Conduct Authority (FCA)
Tracey McDermott,
Group Head, Conduct, Financial Crime and Compliance, Standard Chartered Bank
View details & speakers
12:45
On-demand session: Recording requirements for mobile devices and Electronic Communications
  • History of the recording requirements
  • The impact of remote working on recording requirements
  • Scope of regulatory framework – regulated firms and beyond
  • Future technological developments
Moderator:
Katsuko Ishizeki-Chaudhari,
UK Head of Global Markets Compliance, Natixis
Speakers:
Brandon Carl,
Executive Vice President, Product Strategy, Smarsh
Emily Henderson,
Senior European Counsel, Stifel Institutional
Phil Fry,
VP, Financial Compliance, Verint
Rob Moulton,
Partner, Latham & Watkins
View details & speakers
13:30
Closing remarks
View

Friday 8 October

08:45
Opening remarks
Speaker:
Louise Rodger,
Director, Compliance, AFME
View speakers
09:00
Keynote address
Speaker:
Natasha Cazenave,
Executive Director, European Securities and Markets Authority (ESMA)
View speakers
09:20
Fireside chat
Moderator:
Pedro Pinto,
Director, Head of MiFID, AFME
Speaker:
Natasha Cazenave,
Executive Director, European Securities and Markets Authority (ESMA)
View speakers
09:30
Panel discussion: MiFID: Market Structure
  • EU and UK MiFID priorities
  • Priorities for the EU MiFID review
  • Industry consultations
Moderator:
Pedro Pinto,
Director, Head of MiFID, AFME
Speakers:
Claudia Gonzalez Cabanillas,
Executive Director, EMEA Regulatory Affairs, J.P. Morgan
Elisa Menardo,
Director, Public Policy Europe and UK, Credit Suisse
Fabio Braga,
Manager, Trading and Wholesale Conduct Policy, Financial Conduct Authority (FCA)
Tilman Lüder,
Head of the Securities Markets Unit, DG FISMA, European Commission
View details & speakers
10:15
Networking break
10:45
Panel discussion: MiFID: Investor Protection
  • Inducements and conflicts of interest
  • Payments for order flow
  • EU/UK considerations
  • Regulatory priorities
Moderator:
Julian Allen-Ellis,
Director, UK Advocacy and Capital Markets, AFME
Speakers:
Clare Jenkinson,
EMEA Co-Head Regulatory Change and Advisory, Markets and Securities Services Compliance, HSBC
Martin Parkes,
Managing Director, BlackRock
Rachel Cockshutt,
Head of Regulatory Change, Europe, Royal Bank of Canada
View details & speakers
11:30
Networking break
12:00
Panel discussion: Market Abuse - Regulatory Priorities and Industry Challenges
  • Effectiveness of market abuse controls
  • ESMA guidance and European Commission proposals
  • Practical considerations for firms
Moderator:
Louise Rodger,
Director, Compliance, AFME
Speakers:
Emily Ballisat,
Head of Regulatory Change, Compliance CIB, BNP Paribas
Rob Moulton,
Partner, Latham & Watkins
Steven Clark,
Head of Wholesale Market Conduct Framework Implementation and International Coordination Team, Central Bank of Ireland
View details & speakers
12:45
Keynote address
Speaker:
Rodrigo Buenaventura,
Chairman, Spanish National Securities Market Commission (CNMV)
View speakers
13:15
Closing remarks
View
13:30
End of conference
View

Keynote Speakers

Laura van Geest

Chair, Dutch Authority for the Financial Markets (AFM)

Natasha Cazenave

Executive Director, European Securities and Markets Authority (ESMA)

Robert Ophèle

Chairman, Autorité des Marchés Financiers (AMF)

Rodrigo Buenaventura

Chairman, Spanish National Securities Market Commission (CNMV)

Other Speakers

Alastair Stables

Head of International Regulatory Relations, Bank of America and

Chair, AFME's Compliance Committee

Antony Whitehouse

UK Head of Compliance, Natixis

Bernadine Reese

Managing Director, Protiviti

Bharat Samani

Managing Director, Head of Compliance, Europe, BBVA and

Co-Chair, AFME's Compliance Committee

Brandon Carl

Executive Vice President, Product Strategy, Smarsh

Cédric Perruchot

Head of AML Regulatory Affairs and Advocacy, BNP Paribas

Clare Jenkinson

EMEA Co-Head Regulatory Change and Advisory, Markets and Securities Services Compliance, HSBC

Claudia Gonzalez Cabanillas

Executive Director, EMEA Regulatory Affairs, J.P. Morgan

Efrain Castaneda Mogollon

Privacy Counsel, OneTrust

Elisa Menardo

Director, Public Policy Europe and UK, Credit Suisse

Emily Ballisat

Head of Regulatory Change, Compliance CIB, BNP Paribas

Emily Henderson

Senior European Counsel, Stifel Institutional

Emily Southon

Head of Financial Services Regulatory Law, Standard Chartered Bank

Emmanuel Ronco

Partner, Eversheds Sutherland

Fabio Braga

Manager, Trading and Wholesale Conduct Policy, Financial Conduct Authority (FCA)

Florian Narring

Head of Section, Governance and risk management, DG Horizontal Line Supervision, European Central Bank (ECB)

Isabelle Jenkins

Head of Financial Services UK, PwC

James Kemp

Managing Director of the Global FX Division, Technology and Operations and CC&A Divisions, GFMA and AFME

Jo Swyngedouw

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

Jon Williams

Partner, PwC

Jordan Domash

General Manager, Relativity Trace

Jose Arevalo

Director, Compliance Governance, Regulatory Risk and Control, Commerzbank

Julian Allen-Ellis

Director, UK Advocacy and Capital Markets, AFME

Julie Ansidei

Head of Strategy and Sustainable Finance Unit, Autorité des Marchés Financiers (AMF)

Katsuko Ishizeki-Chaudhari

UK Head of Global Markets Compliance, Natixis

Louise Rodger

Director, Compliance, AFME

Lucy McNulty

City Editor, Financial News

Mark Steuer

Director, Citi

Martin Parkes

Managing Director, BlackRock

Michael Cole-Fontayn

Independent Director on the Board, J.P. Morgan Securities PLC

Michael Gaynor

Senior Credit Research Analyst, BBVA

Myriam Gufflet

Head of Activity, Internal Legal Compliance, European Data Protection Board (EDPB) Secretariat

Nicola Higgs

Partner, Latham & Watkins

Pablo Portugal

Managing Director, Advocacy, AFME

Pedro Pinto

Director, Head of MiFID, AFME

Phil Fry

VP, Financial Compliance, Verint

Pierre-Emmanuel Beluche

Head of Sustainable Finance, Corporate Law, Accounting Standards, and Corporate Governance, French Treasury

Rachel Cockshutt

Head of Regulatory Change, Europe, Royal Bank of Canada

Raluca Pruna

Head of Financial Crime Unit, DG FISMA, European Commission

Richard Middleton

Managing Director, AFME

Rob Moulton

Partner, Latham & Watkins

Rosie Warin

CEO, Kin&Co

Samantha Page

Manager, Sector Team, Wholesale Bank Supervision, Financial Conduct Authority (FCA)

Seung Earm

Head of Regulatory and Territory Office, BNP Paribas

Stephen Strombelline

Managing Director, Capital Forensics

Steve Clark

Executive Director, Morgan Stanley

Steven Clark

Head of Wholesale Market Conduct Framework Implementation and International Coordination Team, Central Bank of Ireland

Tilman Lüder

Head of the Securities Markets Unit, DG FISMA, European Commission

Tracey McDermott

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