13 September 2017, London.

Conduct Risk Summit

Improve Your Firm’s Culture - Engage & Protect Your Staff, Your Customers & Your Business

13 September 2017, London.

Conduct Risk is high on the agenda for financial services firms. In the UK alone, PPI will have an impact for years to come, and banks have put aside billions of pounds in PPI provision. As European regulators increasingly communicate with one another about conduct – and as practitioners strive daily to manage the nuances of this tricky behavioural risk – universal types, patterns and definitions are beginning to emerge.

ECN’s Conduct Risk Summit will explore how good conduct and culture can improve customer/client journeys, reduce regulatory capital requirement and create a significant slowdown in losses. The high-level, interactive and off-the-record discussions will reveal how firms can enhance their working practices, software and systems to better face the rising tide of conduct risk.

Discover how to:

  • Implement key risk indicators and behavioural analytics to define and measure your conduct risk
  • Align your conduct agenda with increasing levels of digitisation and increasingly demanding customers
  • Improve your conduct risk models to reduce regulatory capital
  • Improve service levels, while safeguarding your customers / clients
  • Set rewards and incentives that embed a good culture within your firm
  • Reduce complaints and improve your complaints handling procedures

Our attendees consistently tell us that they hear more useful and relevant content and make more valuable connections at ECN events than they do at other events. So, how do we ensure that your day out of the office exceeds your expectations?

Focused and free-flowing conversations on niche and highly relevant topics. Senior industry participants openly share their challenges, failures, successes and plans. These sessions are designed to present attendees with fresh ideas that they can apply to make meaningful improvements within their firms.

Interactive and informal brainstorming sessions. Chatham House Rules give attendees the freedom to speak outside of the box. Small groups encourage participation from all attendees; and feedback sessions stretch the pool of knowledge across the entire room. The roundtables routinely generate enlightening (and often unexpected) solutions to shared challenges.

Short, sharp and inspirational anecdotes about real-time industry challenges and opportunities, as well as visions for the future. The thought-piece talks give attendees direct access to the experience and knowledge of some of the greatest minds in the industry.

Specifically designed for:

  • Heads of Conduct Risk
  • Heads of Operational Risk
  • Heads of Compliance
  • Heads of Human Resources
  • Heads of Legal
  • Heads of Audit


Network with leading decision makers from:

  • Retail banks
  • Wholesale banks
  • Building societies
  • PSPs
  • Brokers
  • Insurance companies
  • Consultants
  • Law firms
  • Auditors
  • Exchanges
  • Software firms



Standard tickets are currently available from £799 + VAT. Join us in London on 13 September


Well known industry leaders

Summit Agenda

See Summit agenda and speakers confirmed




Chair’s welcome

Adrian Clark, CCO, RBC Global Asset Management (UK)
9:10AMKeynote Interview

Review of recent activity and the impact on business models and losses

  • What appetite firms typically have for conduct risk, and what appetite they should have
  • Is the increased focus on conduct and culture creating a slowdown in losses?
  • How conduct and culture impact the business model and capital reservation
  • What is the cost of getting conduct risk wrong?
  • How getting conduct risk right can benefit the financial services industry and customers / clients
  • Changing market dynamics - Are particular products being taken off the market? Are more customer-centric products being launched?
  • Demonstrating that your firm is adequately addressing conduct risk
  • Conduct risk - standalone discipline or integral part of a broader operational risk framework?
  • Eavan Garvey, Head of Group Conduct Risk, Bank of Ireland
  • Tim Minall, Chief Compliance Officer, WorldPay

Evolution of conduct risk – learning from the legacy and adapting for the new challenges

  • Conduct strategy response to PPI
  • How data has helped
  • Moving the debate from product and sales process to execution risk and post-sales
  • Impact on loss experience
  • The new frontiers of conduct: customer journeys, vulnerability and digitisation

Setting and implementing a conduct risk strategy

  • Defining, measuring and managing conduct risk
  • Behavioural analytics to measure your firm’s conduct risk
  • Identifying emerging risks
  • Ongoing monitoring - keeping track of activities, and the possibility of a rogue incident going up or down
  • Viewing conduct risk in the context of: other risks, your overall business strategy, your firm’s culture, and the language / jargon used by employees
  • Clarifying the changes needed to meet existing and incoming regulatory standards
  • Selecting which models to use and which processes to have in place
  • Implementing key risk indicators and other metrics around conduct risk
  • Setting a timeline - what should be done, by whom, and by when
  • Victoria Stubbs, Chief Risk Officer, The Cambridge Building Society
  • Leslie Perry Coombs, Chief of Staff & Operational Risk Programme Manager, UBS
  • Stephen Mascall, Controls COO, Global Markets​, Credit Suisse

Networking break


What we know about incentives, culture & compliance

  • New experimental study examining the behaviour of financial services executives.
  • Can culture overcome the adverse impact of profit-focused incentives?
  • Latest experimental research findings and their practical implications.
  • Elizabeth Sheedy, Ph.D., Associate Professor - Macquarie University Applied Finance Centre

Staff training, remuneration and incentives – embedding conduct risk awareness within your firm’s culture

  • Ensuring senior managers are aware of key conduct risk issues, and engaged in the importance of good conduct
  • Enabling your managers and trainers to effectively coach and support their teams
  • Enabling individuals to manage conduct risk for their specific areas
  • Setting the right rewards structures and incentives over a long-term horizon, as risks materialise over a long time
  • Measuring, managing and assessing long-term culture, and embedding the right risk culture within your firm
  • Strategies to change the behaviour of your workforce
  • Alison Smith, Internal Audit Director, Barclays
  • Heidi Mosbek, Head of Group Business & Technical Audit, Generali
  • Libby Denchfield, Managing Director, Standard Chartered

Networking lunch


Open roundtable

Network at small tables and join an interactive discussion on the most pressing issues facing your industry. Suggested topics:
  • Anticipating and overcoming common challenges, e.g. managing individual accountability, when an issue crosses over multiple departments
  • Scope and ownership of conduct risk - how much does each department / individual own conduct risk within a firm?
  • Managing the conduct agenda alongside the focus on revenue, cost-cutting and other regulations
  • The implications of extending SMR into the rest of financial services
  • Root cause analysis - uncovering the drivers of conduct risk
  • Knowing when to include losses from litigation in your calculations, and when not to
  • Effectively maintaining Chinese walls within a large organisation
  • Managing risk across an extended organisation – vendor governance
Roundtable leaders:
  • Derek Hammond, Head of Culture & Conduct, Societe Generale Corporate & Investment Banking
  • Helle Meineche, Head of Group Compliance, Danske Bank
  • Debbie Wright, Senior Manager, Risk, Policy & Controls, Nationwide Building Society
  • Imtiaz Hussain, Head of Audit UK, Ireland & Service Delivery Centres, BNY Mellon
  • Heidi Mosbek, Head of Group Business & Technical Audit, Generali

Regulators’ perspectives

  • Insights into European regulators’ current perspectives, regulatory objectives and expectations relating to conduct risk and consumer protection
  • Recent and upcoming developments in regulatory policy and assessment
  • TBC, European Banking Authority (Confirmed)

Managing the conduct agenda alongside increasing automation and client / customer demands

  • How digitisation impacts the customer experience
  • Providing ease of service, the best rates and tailored products, while ensuring good conduct
  • Minimising the conduct risk of increasingly communicating with customers through a digital interface
  • Building infrastructure that can meet the digital demands of customers
  • Giles Spungin, Global Head of Operational Risk & Regulatory Compliance Analytics, HSBC
  • Kimon de Ridder, UK Compliance Oversight Director, Aviva Investors
  • Laurence Bogni-Bartholmé, EMEA Head of International Risk Oversight - SVP, Wells Fargo

Networking break


Enabling a continuous audit of conduct risk

  • Developing a framework for continuously auditing conduct risk in the end to end process value chain
    • Auditing the conduct risk framework
    • Tie in with the Senior Managers Regime conduct rules
  • Conducting these audits
  • Imtiaz Hussain, Head of Audit UK, Ireland & Service Delivery Centres, BNY Mellon

Safeguarding your clients / customers

  • Aligning good conduct with the customer/client experience - training your staff to improve levels of service, while complying with conduct risk principles
  • Reducing complaints and improving your complaints handling procedures
  • Using machine learning to reduce the risk of data breaches and rebuild trust
  • Overcoming execution issues in the servicing space that cause conduct risk
  • Managing disclosures of conflicts of interest
  • Identifying and safeguarding vulnerable customers in an increasingly digital world
  • Helping customers to make better choices when purchasing financial products
  • Douglas Barton, Internal Audit Manager, Virgin Money
  • Elizabeth Sheedy, Ph.D., Associate Professor, Macquarie University Applied Finance Centre

Chair’s summary and close of summit

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  • “The panel session gave us a chance to discuss and debate different views from different perspectives; and having a two-way dialogue with the delegates helped to keep the conversation relevant.”

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    Sasha Dabliz

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  • To date the best conference of the year!!

    Andrew Reid Thomas

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    InvestCloud, Inc
  • Having exhibited at both the fantastic London and New York RegTech Summits I can highly recommend both for the quality of discussions and caliber of attendees. Directly based on the positive feedback we received at the 2016 US RegTech Summit we decided to open our first international office in New York (in Jan 2017)

    Shane Brett

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If your company is interested in sponsoring this year's Conduct Risk Summit, please contact Rebecca Martin on rebecca@eventcreationnetwork.com or call + 44 20 3397 7462. We will get right back to you with information and our sponsorship brochure.


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Summit Venue - One Moorgate Place

13 September, 2017

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One Moorgate Place Chartered Accountants Hall, 1 Moorgate Pl, London EC2R 6EA

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