Securities Houses Compliance Officers Group
Total Page:16
File Type:pdf, Size:1020Kb
Securities Houses Compliance Officers Group Monthly Meetings 2016 Date Guest Speaker(s) Subjects January NO MEETING 2016 February Peter Bevan, Partner, Linklaters Brexit Risk: 2016 Lucy Fergusson, Partner, Linklaters What Compliance Officers need to know Mark Goulden, Managing Director, Global Head of Markets March Compliance, Deutsche Bank Buy-Side Compliance: 2016 Nick Gibson. Managing Director, Blackrock Topical issues and challenges Jane French, Managing Director, Wealth Management, Private and Commercial Clients, Deutsche Bank Mark Goulden Global Head of Markets Compliance, Deutsche Bank MAD / MAR Part One April Rob Moulton, Partner, Ashurst Investment Recommendations – Challenges of 2016 Emily Ballisat, Head of Regulatory Change, CIB implementation Compliance UK, BNP Paribas May Nikki Altria, SHCOG Steering Committee Member Cyber Crime and the City 2016 DI Andy Fyfe, City of London Police Antony Whitehouse, UK Head of Compliance, BNP Paribas, SHCOG Deputy Chair MAD / MAR Part Two June Harry Eddis, Partner, Linklaters Investment Advice, Insider lists and 2016 David O’Sullivan, Market Soundings Compliance Consultant, Commerzbank Trade Surveillance / Benchmarks and STORs Mark Follows, Subject Matter Expert, Compliance Financial Markets, NICE Actimize Richard Brearley, Regional Head of Compliance EMEA, Macquarie, SHCOG Treasurer July Peter Bevan, Partner, Linklaters The Implications of BREXIT 2016 Stephen Sanders, for Compliance Teams Chief Compliance Officer, EMEA, JP Morgan formerly, EMEA Head of Regulatory Policy Developments, JP Morgan August NO MEETING 2016 Claire Edwards, Managing Director, Regulatory Affairs, Nomura Gerard Butler, Head of Central Compliance UK BNP Paribas September Dirk Young,Head of Conduct & Accountability Senior Managers and Certification Regime 2016 Frameworks, Compliance, Barclays Karen Poole, Head of IB C&ORC Programmes, UBS Stephan Niermann, Managing Director, Head of Compliance, UK & Asia, Commerzbank October NO MEETING 2016 Merope Sylvester, November Head of Compliance Assurance EME, Barclays, An Update on MiFID II 2016 Dr Anthony Kirby, Executive Director, EY Mark Goulden Global Head of Markets Compliance, Deutsche Bank December Rob Moulton, Partner, Ashurst Focus on Compliance challenges for 2017 2016 Andrew Bowley, Head of Regulatory Response & Market Structure Strategy, Nomura Securities Houses Compliance Officers Group Monthly Meetings 2017 Date Guest Speaker Subjects Wendy Langridge Chief Regulatory Officer, BCS Global Markets SHCOG Steering Committee Member January Rosemary Charles What does a good Training Programme look 2017 CIB UK – Head of Compliance Training, BNP Paribas like? Anne Breslin Head of Compliance EMEA and Asia, Jefferies Intl SHCOG Steering Committee Member Merope Sylvester Head of Compliance Assurance EME, Barclays Bank SHCOG Steering Committee Member February Dr Anthony Kirby 2017 Executive Director, Regulatory & Risk Management - MiFID II – Transaction Reporting Regulatory Intelligence, EY Shawn Ward Head of IB Operations Compliance, Barclays Bank Mark Goulden, Global Head of Markets Compliance, Deutsche Bank : SHCOG Chairman Wendy Langridge, Head of Compliance & Corporate March Governance, BCS Global Markets Current Issues in AML 2017 SHCOG Steering Committee Member Marie-Alice Hofmaier, Senior Manager Forensic Services, PricewaterhouseCoopers Sian Herbert, Partner,PricewaterhouseCoopers Merope Sylvester Head of Compliance Assurance EME, Barclays Bank April SHCOG Steering Committee Member MiFID II – Best Execution 2017 Dr Anthony Kirby Executive Director, Regulatory & Risk Management - Regulatory Intelligence, EY Mark Goulden, Global Head of Markets Compliance, Deutsche Bank :SHCOG Chairman May Nicola Higgs, Partner, Latham & Watkins MiFID II – Product Governance 2017 Killian Brown, Vice President, Global Markets Business Line Compliance, Deutsche Bank Claire Edwards June EMEA Head of Compliance Regulatory Management and Change, Principle 11; Rule 7 2017 J.P. Morgan : SHCOG Steering Committee Member Rob Moulton, Partner, Latham & Watkins July No Meeting 2017 Wendy Langridge Head of Compliance & Corporate Governance, August BCS Global Markets : SHCOG Steering Committee Member MiFID II – Unbundling of Research 2017 Seung Earm Compliance Officer, Global Markets CIB, BNP Paribas Oliver Geffroy Head of Private Side Compliance, BAML September SHCOG Steering Committee Member Conflicts Management in Global Banking 2017 Alice Crawley Global Head of Business Selection and Conflicts, UBS Peter Bevan, Partner, Linklaters Richard Brearley Regional Head of Compliance - EMEA, Macquarie October EU General Data Protection Regulation SHCOG Treasurer 2017 (GDPR) Oded Shomroni, Director & Managing Counsel, Pershing Janki Mawji, Compliance Officer, Pershing November 2017 December 2017 2 .