31st Jan 12	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Nicky Young Senior Regulatory Affairs Consultant Standard Life The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • MiFID II • FSA guidance on Distributor Influenced Finds (DIFs) • Financial promotions (inc. social media) • FSA: changing approach to regulation • RDR: advisor charging • UCITS: KIDs • FSA guidance on financial crime • Impact of Eurozone crisis • Issues raised by members

30th Jan 12	Complaints Handling	Edinburgh
Complaints Handling
Chairman Stuart O'Sullivan Partner Huntswood Guest Contributor Mathew James Independent Consultant The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics FIRST SESSION - LUNCH "Customer Services: Present and Future" -- a discussion with Mathew James - Independent Consultant SECOND SESSION - MEETING Discussion Topics • Dealing with CMCs • One-stage process • Third parties: achieving a fair outcome • Freedom of Information Act: Sending data to the FOS • Regulatory developments -- FOS -- FSA • Issues raised by members
Sponsors - Huntswood & CDC Respond

24th Jan 12	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • SOCA SARs Annual Report • BBA Bribery Act Guidance • FSA Financial Crime Guide • Fraud risks: Central Bank of Libya • Iran sanctions • Fraud definitions • Issues raised by members
Sponsors - Grant Thornton

23rd Jan 12	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Eurozone scenarios • Recession risks -- Europe -- Asia • Risk appetite as part of business plans -- embedding -- managing -- evidencing • Risk categorisation: internal models • Cyber threats • Iran • Innovation risks • SARs • Issues raised by members

19th Jan 12	Asset Management	London
Asset Management
Chairman Tony Bronk Head of Compliance Ahli United Bank Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Implications of regulatory reform • Governance processes • Eurozone scenarios • RDR: implications for IM -- retail -- institutional • MiFID II • UCITS V • PRIPs • FATCA • CASS • Dodd Frank • Issues raised by members

16th Jan 12	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Impact of Eurozone break-up • MiFID II -- platform activity -- breaches: mandatory sanctions -- Article 3 exempt firms • Governance: measurement of risk competence • Restrictions on investors transacting freely in the market • New SME financial market • Management diversity: positive discrimination • Issues raised by members

12th Dec 11	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Eurozone break-up scenarios • Hedging • Scenario Analysis Click here for event summary (pdf)

7th Dec 11	Data Assurance	London
Data Assurance
The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics IT SECURITY FOCUS • Cyber attacks -- preparation -- minimising impact -- terrorist threats to UK banks -- emerging threats & trends • Recording mobile devices • Mobile applications • Data encryption • Leveraging legacy systems • GRC -- risk assessment methodologies & tools -- third parties -- ERM • Security within the cloud -- defending data -- data recovery -- internal cloud -- hybrid clouds • Education/Raising awareness • Issues raised by members
Sponsors - RSA & Verizon

5th Dec 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London, EC2A 1AG (map)	Discussion Topics • Bribery Act • Sanctions • Review of 2011 • Third-party payments • Other Click here for event summary (pdf)
Sponsors - Grant Thornton

29th Nov 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Craig Hamilton Senior Manager KPMG The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Client money & assets return • PS11/13 • Market Abuse Directive • FATCA • MiFID II • Dodd Frank • New media • Issues raised by members

28th Nov 11	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan, Partner, Huntswood Guest Contributor Michael Hill, Founder, complaintsrgreat.com Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FIRST SESSION Complaint Management: best practice & bad examples --a discussion with Michael Hill – complaintsrgreat.com SECOND SESSION • Quality assurance processes • Claims management companies Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software

21st Nov 11	RDR Group	London
Retail Distribution Review
Chairman Neil Walkling RDR Specialist Ernst & Young City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • FSA papers -- PS11/13 (CP11/8) Data Collection -- PS11/14 (CP11/3) Product Disclosure -- CP11/24 Accredited Bodies -- CP11/25 Adviser Charging -- responses to product manufacturers information request • FSA visit feedback • Simplified advice • T & C -- use of third party study providers -- quality of exam results? -- experience of CISI CPD software? • Approach on share classes • Recent HMRC VAT guidance • Issues raised by members

14th Nov 11	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Operational risk: impact on other risk types • Skills for risk managers • Scenario analysis: program/resource utilisation • Hacking vulnerability Click here for event summary (pdf)

8th Nov 11	Asset Management	London
Asset Management
Chairman Tony Bronk Head of Compliance Ahli United Bank The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • UCITS IV & V • AIFMD • MiFID II • Dodd Frank • FATCA • Fund manager examination standards • FSA Arrow Visits • Corporate presence on social networking sites • Competence and ethics Click here for event summary (pdf)

3rd Nov 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Lisa C Burton Head of eDisclosure, Forensic & Investigation Services Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London, EC2A 1AG (map)	Discussion Topics FIRST SESSION 'When the Regulator Calls: SEC v Tamas Corporation' - a presentation by Lisa Burton, Grant Thornton SECOND SESSION • FSA: Financial Crime Guide • EU 4th Money Laundering Directive • Sanctions • Bribery • UBS case • Future risks • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton

25th Oct 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Craig Hamilton Senior Manager KPMG The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR • Financial promotions • MiFID II • Client categorisation • Other issues Click here for event summary (pdf)

24th Oct 11	Complaints Handling	Edinburgh
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FOS publication • Communications methods • FSA rule changes • Root cause • FSA guidance • Future complaints Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

13th Oct 11	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Offices of Foster Denovo, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • Suitability & appropriateness • SIPPS • MiFID II • FATCA • UCITS IV • Future of the FSA • Client communication - new media Click here for event summary (pdf)

29th Sep 11	RDR Group	London
Retail Distribution Review
Chairman Neil Walkling RDR Specialist Ernst & Young Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Main challenges • FSA Platform Policy Statement • Simplified advice • Stakeholder v personal pensions • Legacy commission on existing policies • Qualifications Click here for event summary (pdf)

27th Sep 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR --legacy commission --simplified advice • FSA transparency CP • FSA review: Investment complaints • ESMA discussion paper - ETF UCITS • FATCA • Issues raised by members

26th Sep 11	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Guest Contributor Dominic Lindley Principal Policy Advisor, Public Affairs Which? Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FIRST SESSION - WHICH? PRESENTATION Complaints: Are Firms Treating Customers Fairly? SECOND SESSION - GENERAL TOPICS • FOS issues • One-stage process • New media • Current and future complaints Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

22nd Sep 11	Data Assurance	London
Data Assurance
Chairman Stephen Bonner Partner KPMG The City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Social media • Education • Third parties & outsourcing • DLP regulation • Emerging threats & trends in cyber security • Advanced persistent threats • Corporate espionage Click here for event summary (pdf)
Sponsors - RSA Security & Verizon

20th Sep 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London, EC2A 1AG (map)	Discussion Topics • New prosecution cases • Identifying and verifying automated payments from third parties • FSA Issues • Bribery Act • UBS case • Future threats and current frauds • Other Click here for event summary (pdf)

15th Sep 11	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FRAMEWORK PRESENTATION • Fidelity GENERAL DISCUSSION • Risk of regulatory liabilities • Project risk assessments • New products risk • Emerging risks • Issues raised by members

5th Sep 11	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo City of London Club, 19 Old Broad Street, London (map)	Discussion Topics • RDR • Dear CEO letter: Client Attitude Towards Risk • FSA Letter • FSA TCF Handbook • Bribery Act • FSCS Levy • FATCA Click here for event summary (pdf)

22nd Aug 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Craig Hamilton Senior Manager KPMG The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • MiFID • UCITS IV • CP11/16 • New regulatory structure • RDR - platforms - legacy/commission/advisor charging • European regulation • Issues raised by members

25th Jul 11	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo At Foster Denovo's Offices, 1st Floor, 8 Eastcheap, London EC3M 1AE (map)	Discussion Topics • Dear CEO Letter • Appropriateness • UCITS IV • Dodd-Frank/FATCA • Money Laundering • RDR Click here for event summary (pdf)

19th Jul 11	Asset Management	London
Asset Management
Chairman Derek Pennor Senior Manager, Financial Services Ernst & Young Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • RDR • UCITS IV & V • FATCA • Dodd Frank Bill • Telephone tapping • Bribery Act • Client assets • FSCS levy Click here for event summary (pdf)

14th Jul 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor David Clark DCI Head of Operations City of London Police Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics FIRST SESSION A discussion with the City of London Police SECOND SESSION • New crimes • Bribery Act • AML • Sanctions • Social Media • Social engineering Click here for event summary (pdf)
Sponsors - Grant Thornton

28th Jun 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Derek Pennor Senior Manager, Financial Services Ernst & Young The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • The new regulator • The FOS • RDR Click here for event summary (pdf)

27th Jun 11	Complaints Handling	Edinburgh
Complaints Handling
Chairman Richard Holloway Principal Consultant Huntswood Guest Contributor Sarah Cook Managing Director The Stairway Consultancy The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics FIRST SESSION - PRESENTATION Putting The Consumer At The Heart Of Your Complaints Handling - a presentation by Sarah Cook, The Stairway Consultancy SECOND SESSION - DISCUSSION • One-stage process • Root cause analysis • PPI • FOS issues Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

20th Jun 11	Operational Risk	London
Operational Risk
Chairman Anita Bradshaw Risk Director, Business Advisory Services Wipro Technologies Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FRAMEWORK PRESENTATION • Newton Investment Management GENERAL DISCUSSION • Stress-testing • KRIs • Control frameworks • Policy enforcement & technology • External loss data • Operational risk capital model • Senior management engagement - operational risk reporting • Turning backward looking data into forward looking risk management • Issues raised by members Click here for event summary (pdf)

16th Jun 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor John Plank Principal Officer, Prevention SOCA Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics SESSION ONE - SOCA • Presentation • Discussions SESSION TWO - OTHER TOPICS • SOCA discussions • Bribery Act • Sanctions • Monitoring representative offices Click here for event summary (pdf)
Sponsors - Grant Thornton

9th Jun 11	Data Assurance	London
Data Assurance
Chairman Malcolm Marshall Partner KPMG Guest Contributor Alastair Barter Senior Policy Officer Business and Industry Group ICO City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Changing risks • Classifying data • Education • Data monitoring • Dealing with data leaks • Internal emails • Sharing information • Social networking sites Click here for event summary (pdf)
Sponsors - RSA Security & Verizon

7th Jun 11	RDR Group	London
Retail Distribution Review
Chairman Neil Walkling RDR Specialist Ernst & Young Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Main Issues • Platforms • Simplified Advice • Legacy Commission • Advisor Charging for Vertically Integrated Firms • Restricted v Independent Advice • FSA Newsletter Click here for event summary (pdf)

2nd Jun 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Jennifer Duncan Senior Manager KPMG The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR • UCITS IV • Simplified products • New regulators Click here for event summary (pdf)

1st Jun 11	Complaints Handling	London
Complaints Handling
Chairman Richard Holloway Principal Consultant Huntswood Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • FOS issues • One-stage process • PPI • Future complaints • Consumer Insurance Bill • Quality assurance Click here for event summary (pdf)
Sponsors - Huntswood & CDC Software

19th May 11	Asset Management	London
Asset Management
Chairman Derek Pennor Senior Manager, Financial Services Ernst & Young City of London Club, 19 Old Broad Street, EC2N 1DS (map)	Discussion Topics • FSCS Levy • FSA Governance • Bribery Act • Sanctions • UCITS IV • Ethics • Data protection • RDR • FATCA Click here for event summary (pdf)

16th May 11	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Enterprise-wide risk management • Incident management • Technology solutions Click here for event summary (pdf)
Sponsors - BDO LLP

10th May 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Joint ventures • Bribery Act • Sanctions • Annual risk assessments • Future risks Click here for event summary (pdf)
Sponsors - Grant Thornton

9th May 11	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Guest Contributor Ben Luddington Associate Director Grant Thornton Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FIRST SESSION - THE BRIBERY ACT - led by Ben Luddington, Associate Director, Grant Thornton SECOND SESSION - OTHER TOPICS • Suitability • Appropriateness • Calls & messaging • RDR Click here for event summary (pdf)

5th May 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Craig Hamilton Senior Manager KPMG The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • AIFM Directive • Product intervention • AIFM Directive • Solvency II • MiFID II • UCITS IV • RDR Click here for event summary (pdf)

4th May 11	Complaints Handling	Edinburgh
Complaints Handling
Chairman Richard Holloway Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh ED2 2EQ (map)	Discussion Topics FIRST SESSION - COURT RULING: PPI - led by Huntswood, with a presentation from CDC Software on dealing with high complaint volumes. SECOND SESSION - OTHER TOPICS • PPI judicial review • FOS Corporate Plan • PPI - recording effective root cause • IFA compensation levels • FSA proposed changes to complaint handling rules Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

14th Apr 11	RDR Group	London
Retail Distribution Review
Chairman Neil Walkling RDR Specialist Ernst & Young Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Advisor charges/trail commission • Independent v restricted advice • Documentation • Qualifications • Simplified advice Click here for event summary (pdf)

13th Apr 11	Financial Crime	London
The Bribery Act - Special Meeting
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics The Bribery Act - New Guidance Following the release of guidance from the Government and the Serious Fraud Office, Sterl Greenhalgh from Grant Thornton will lead discussions on the implications for the finance sector.
Sponsors - Grant Thornton

4th Apr 11	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FRAMEWORK PRESENTATIONS • National Savings & Investments • Nationwide GENERAL DISCUSSION • FSA risk outlook • Risk & strategic planning: adding value • Business-led horizon scanning • Risk & Control Functions • Embedding Risk Training Framework Click here for event summary (pdf)

31st Mar 11	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • RDR update • Sanctions • Bribery Act • RDR • MiFID II • Suitability & appropriateness • New NEDs requirements Click here for event summary (pdf)

29th Mar 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Derek Pennor Senior Manager, Financial Services Ernst & Young The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR platform paper • FSA product intervention • Impact of regulatory changes • UCITS IV • FOS issues • Significant influence function Click here for event summary (pdf)

28th Mar 11	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Guest Contributor Sarah Cook Managing Director The Stairway Consultancy Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FIRST SESSION - PRESENTATION Putting The Consumer At The Heart Of Your Complaints Handling - a presentation by Sarah Cook, The Stairway Consultancy SECOND SESSION - DISCUSSION • FOS -- relationship -- corporate plan • PPI -- Judicial review -- Recording effective root cause • FSA: TCF complaint audits • EU consultation on collective redress • Measuring complaint handler performance • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood

22nd Mar 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Reactions to social unrest • Sanctions -- Libya -- Iran • Bribery Act -- update to guidance -- policing: FSA, FSO • PEPs: corruption risk • Practical usage of risk matrices • On-boarding and risk evaluation • Future risks Click here for event summary (pdf)
Sponsors - Grant Thornton

10th Mar 11	Data Assurance	London
Data Assurance
Chairman George Thompson Director KPMG City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Data protection • Dealing with third parties • Clouds • Personal devices in the work place • Raising awareness • Electronic espionage & WikiLeaks Click here for event summary (pdf)
Sponsors - RSA Security & Verizon

1st Mar 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Kevin Farrell Senior Manager, Financial Services BDO LLP The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • HMT regulation paper • Impact of regulator changes • FSA product intervention • RDR • Dealing with the FOS • Other issues Click here for event summary (pdf)
Sponsors - BDO LLP

23rd Feb 11	RDR Group	London
Retail Distribution Review
Chairman Neil Walkling RDR Specialist Ernst & Young Guest Contributor Steve Mapes Controls Assurance Director Cofunds Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • FSA Platforms paper • Restricted vs. independent advice • Competence and professionalism • Simplified advice • General points Click here for event summary (pdf)

22nd Feb 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Ian Gray, National Fraud Intelligence Bureau City of London Police Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics FIRST SESSION A discussion with the National Fraud Intelligence Bureau SECOND SESSION • Sanctions • Bribery Act • AML • EU Fraud: cultural differences in jurisdictions • Social engineering • PA dealing • Carbon credit trading • Social media • Issues raised by members
Sponsors - Grant Thornton

21st Feb 11	Operational Risk	London
Operational Risk
Chairman Anita Bradshaw Risk Director, Business Advisory Services Wipro Technologies Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Organisational structure: three lines of defence • Enhancing / implementing a new risk framework • Recent regulations • FSA levy • FSA: new approach to regulation • Assurance framework Click here for event summary (pdf)

17th Feb 11	Asset Management	London
Asset Management
Chairman Tony Bronk Director BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • FSCS levy • Assessing suitability • UCITS IV • RDR • Bribery Act • CASS • Mobile-device recording Click here for event summary (pdf)

27th Jan 11	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Suitability Paper • Bribery Act • MiFID II • AIFM Directive • Dodd-Frank Bill • RDR Click here for event summary (pdf)

25th Jan 11	Compliance - Scotland	Edinburgh
Compliance - Scotland
Chairman Kevin Farrell Senior Manager, Advisory Practice BDO LLP The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR • Links with EU directives • MiFID II • FSA Suitability Guidance • Skills Assurance • Simple Financial Products • PRIPs • Client Money • FATCA • Bribery Act Click here for event summary (pdf)
Sponsors - BDO LLP

24th Jan 11	Complaints Handling	Edinburgh
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FOS corporate plan • FSA Consumer Paper • Qualifications • Root cause analysis • Using FOS decisions • Responsible persons • FSA enforcement • Volumes of FOS cases • Trends Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

18th Jan 11	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Patric Marshall Director, EMEA World-Check Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Anti-bribery initiatives • Future threats • Sanctions and Iran Click here for event summary (pdf)
Sponsors - Grant Thornton & World-Check

17th Jan 11	Operational Risk	London
Operational Risk
Chairman Stuart Thomson Partner Ernst & Young Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • New product risks • Forward-looking risk assessments • Future risks • Recent papers • Remuneration Code • Bribery Act • Embedding risk management • Embedding risk Click here for event summary (pdf)

1st Dec 10	Complaints Handling	Dublin
Complaints Handling
Chairman John Clinton Senior Manager, Advisory Services Team Ernst & Young Guest Contributor William Prasifka Financial Services Ombudsman The Clarion Hotel, IFSC Dublin 1	Discussion Topics FIRST SESSION "Dealing with the the FSO" - guest speaker William Prasifka, Financial Services Ombudsman SECOND SESSION Open Discussion
Sponsors - CDC Respond

29th Nov 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Patric Marshall Director, EMEA World-Check Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Bribery Act update • Whistleblowing/Dodd Frank Bill • Sanctions • Sanctions and Iran • Margaret Cole Speech • Trends & drivers / future frauds Click here for event summary (pdf)
Sponsors - Grant Thornton & World-Check

25th Nov 10	RDR Group	London
RDR Group
Chairman Patrick Storey Senior Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Platform remuneration • Rebates from product providers to customers • Investing in authorised funds through nominees • Extension of adviser charging standards to platforms • Best execution • Product differentiation • Conclusion Click here for event summary (pdf)
Sponsors - Grant Thornton

23rd Nov 10	Compliance - Scotland	Edinburgh
Compliance Group
Chairman Kevin Farrell Senior Manager, Advisory Practice BDO LLP The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR: FSA platforms paper • Bribery Act • FSA remuneration disclosure paper • FSCS: raised FOS limit • Issues raised by members

22nd Nov 10	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Guest Contributor Ian Woodman Financial Ombudsman Service Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics FIRST SESSION A DISCUSSION WITH THE FOS "Plans and Priorities" - Ian Woodman, Financial Ombudsman Service SECOND SESSION • FSA Consumer Complaints Paper -- Two-stage process -- Root cause analysis -- FOS relationship -- Senior responsibility • Issues raised by members
Sponsors - CDC Software & Huntswood

15th Nov 10	Operational Risk	London
Operational Risk
Chairman Dan Taylor Partner BDO LLP City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • Governance -- FSA: effective corporate governance -- risk of changing culture • FSA CP: enhancing frameworks in TSA to OR • Communications: embedding risk management • Embedding risk appetite/tolerance • Solvency II Click here for event summary (pdf)
Sponsors - BDO LLP

8th Nov 10	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • AIFM • Remuneration • Client Money • RDR -- latest update -- confirming fee instructions to clients • Dodd-Frank Bill • Issues raised by members

2nd Nov 10	Data Assurance	London
Minimising the Risk of Data Breaches
Chairman Stewart Room Partner Field Fisher Waterhouse LLP Guest Contributor David Evans, Business and Industry Group, ICO Philip Keown, Head of Technology Risk Services, Grant Thornton Lee Miller, GRC Solutions Lead, Verizon Rashmi Tarbatt, Chief Security Architect, RSA Security The Andaz, 40 Liverpool Street, London EC2M 7QN (map)	Discussion Topics • Data breaches • A global problem • Protecting business information • Assurance, control & governance • Assessing third-party risks • Cloud computing • Dealing with breaches Click here for event summary (pdf)
Sponsors - RSA & Verizon

25th Oct 10	Complaints Handling	Edinburgh
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FSA Consumer Paper -- abolition of the two-stage process -- taking account of the ombudsman’s decisions -- root cause analysis -- implementation timelines • FOS Relationship • Complaints qualifications • Expression of dissatisfaction • TCF/MI/targets - uphold rates • PPI Judicial Review Click here for event summary (pdf)
Sponsors - CDC Software & Huntswood

11th Oct 10	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Guest Contributor Sterl Greenhalgh Partner Grant Thornton Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics THE BRIBERY ACT - A discussion led by Sterl Greenhalgh, Partner, Forensic & Investigation Services, Grant Thornton GENERAL TOPICS • RDR • ARROW visits • Best execution monitoring Click here for event summary (pdf)

7th Oct 10	Asset Management	London
Asset Management
Chairman Tony Bronk Director BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Bribery Act • Enhanced CAS • RDR • Stress testing • Liquidity policies and contingency funding requirements • AIFM update • UCITS IV • Data protection / security • Provision of MI to board • Living wills • Issues raised by members

5th Oct 10	Compliance - Scotland	Edinburgh
Compliance Group
Chairman Peter Downie Company Secretary Money Dashboard The Balmoral Hotel, Princes Street, Edinburgh, EH2 2EQ (map)	Discussion Topics • RDR -- restricted vs. independent advice -- charging models -- qualifications -- platforms • Fund specific illustrations • Presenting MI to the board • Data protection/security Click here for event summary (pdf)

27th Sep 10	Complaints Handling	London
Complaints Handling
Chairman Stuart O'Sullivan Principal Consultant Huntswood Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Qualifications for complaint handlers • Complaints MI • Root cause analysis • FOS Relationship • Retrospective Complaints Handling / PPI • Other Issues Click here for event summary (pdf)
Sponsors - CDC Software & Huntswood

23rd Sep 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics GENERAL TOPICS • Bribery Act • Sanctions • Insider dealing OPEN DISCUSSION • Future threats Click here for event summary (pdf)
Sponsors - Grant Thornton

20th Sep 10	Operational Risk	London
Operational Risk
Chairman Fiona Raistrick Director, Financial Services Risk & Regulatory Practice BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Control function interconnectivity • Approaches to risk appetite • ICAAP: estimating risk & AAF • Presenting MI to the board • Embedding accountability: Turnbull sign-off • Risk systems • Embedding ERM Click here for event summary (pdf)
Sponsors - BDO LLP

16th Sep 10	RDR Group	London
RDR Group - London
Chairman Tim Reid Director, Financial Services Group Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Simplified advice • Independent vs. restricted advice • Platforms • Distribution in a zero commission world • Qualifications • VAT payments • Other issues Click here for event summary (pdf)
Sponsors - Grant Thornton

13th Sep 10	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • RDR • FSA supervision • Liquidity • Remuneration code • Corporate governance • Living wills Click here for event summary (pdf)

26th Jul 10	Complaints Handling	Edinburgh
Complaints Handling
Chairman John Seaton Principle Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Root cause analysis • PPI • Changes to DISP rules • CMCs Click here for event summary (pdf)
Sponsors - CDC Software & Huntswood

20th Jul 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Ben Luddington Associate Director Grant Thornton Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Sanctions • The Bribery Act • Current trends • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton

8th Jul 10	Asset Management	London
Asset Management
Chairman Tony Bronk Director - Compliance BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • UCITS IV • AIFM • RDR • Stress testing / liquidity policies and contingency funding • Data protection / privacy • Provision of MI to the board • Living wills • Enhanced CAS • US custodians / persons Click here for event summary (pdf)

28th Jun 10	Complaints Handling	London
Complaints Handling
Chairman John Seaton Primciple Consultant Huntswood Guest Contributor Michael Wallis Customer Care and Support Manager Page & Moy Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PRESENTATION Managing Complaints and Feedback A presentation by Michael Wallis, Customer Care & Support Manager, Page & Moy OTHER TOPICS • Root cause analysis • Contextualising data • Complaint trends • FOS relationship • Communication methods Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood

22nd Jun 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Colin Cowan Detective Superintendent Overseas Anti-Corruption and Bribery Unit City of London Police Grant Thornton's Offices, 30 Finsbury Square, London EC2A 1AG (map)	Discussion Topics • Bribery Act update • City of London Police Overseas Ant-Corruption Unit update • Grant Thornton survey on the Bribery Act • Fraud trends Click here for event summary (pdf)
Sponsors - Grant Thornton

21st Jun 10	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Guest Contributor Anita Bradshaw, Senior Consultant KTN Alex Ball Consultant Cognisco BDO's Offices, 55 Baker Street, London W1U 7EU (map)	Discussion Topics PRE-MEETING 2.30 - 3pm "People Risk: The Final Frontier" - a presentation/discussion led by Anita Bradshaw, KTN and Alex Ball, Cognisco MAIN MEETING 3.15 - 5pm • KRIs • Turning backward looking data into forward looking risk management • Operational risk capital model • Senior management engagement • External loss data Click here for event summary (pdf)
Sponsors - BDO LLP & Microsoft

17th Jun 10	Complaints Handling	Dublin
Complaints Handling
Chairman John Clinton Senior Manager, Advisory Services Team Ernst & Young Guest Contributor William Prasifka Financial Services Ombudsman The Clarion Hotel, IFSC, Dublin 1	Discussion Topics IMPACT OF NEW OMBUDSMAN A discussion of current topical issues with William Prasifka, Financial Services Ombudsman GENERAL TOPICS • Complaint trends • Root cause analysis Click here for event summary (pdf)
Sponsors - CDC Software

14th Jun 10	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo City of London Club, 19 Old Broad Street, London EC2N 1DS (map)	Discussion Topics • RDR • PA dealing • Market abuse • Corporate governance • US foreign accounts: tax compliance • KYC information & categorisation • Arrow feedback Click here for event summary (pdf)

9th Jun 10	Compliance - Scotland	Edinburgh
Compliance Group
Chairman Catrin Thomas Partner PricewaterhouseCoopers Guest Contributor Keith Webb RDR Consultant PricewaterhouseCoopers The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics RETAIL DISTRIBUTION REVIEW • Simplified advice • Impact of platforms • Other issues OTHER TOPICS • TCF: outcomes focus • Measuring the value of compliance • Optimising the value of MI Click here for event summary (pdf)
Sponsors - PricewaterhouseCoopers

24th May 10	Complaints Handling	Edinburgh
Complaints Handling
Chairman John Seaton Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics PRESENTATION /DISCUSSION 2.30 - 3pm FSA Complaint Handling Review - Caroline Walters, Huntswood MAIN MEETING 3 - 4.30pm • Quality assurance • Root cause analysis • Training & competence • Complaint handler productivity • Contextualising data • Issues raised by members Click here for event summary (pdf)
Sponsors - Huntswood & CDC Respond

18th May 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Guest Contributor Arjun Medhi Staff Fraud Advisor CIFAS Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics MAIN MEETING 2.15 - 3.30 • Sanctions • The Bribery Bill • International blacklists • New fraud techniques PRESENTATION/DISCUSSION 3.30 - 4.00 "Sharing responsibility for combatting internal fraud" - Arjun Medhi, Staff Fraud Advisor, CIFAS Click here for event summary (pdf)
Sponsors - Grant Thornton

17th May 10	Operational Risk	London
Operational Risk
Chairman Ian Cottrell Director BDO LLP Guest Contributor Jeremy Wood Director Finsbury Solutions Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PRE-MEETING 2.30 - 3pm Spreadsheet Risk Management: Overcoming Barriers to Effective Spreadsheet Control - Jeremy Wood, Finsbury Solutions MAIN MEETING 3.15 - 5pm • Risk measurement: inherent v residual • Pillar II add-ons • Embedding risk frameworks • Stress testing • Election impact • Sovereign debt risk Click here for event summary (pdf)
Sponsors - BDO LLP & Microsoft

10th May 10	Private Wealth Management	London
Private Wealth Management
Chairman Gareth Greenwood Senior Manager - Regulatory Team Deloitte Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • ARROW feedback • Effective corporate governance • FSA business plan & risk outlook • RDR: commercial impact • Client money • Complaints handling Click here for event summary (pdf)
Sponsors - Deloitte & Microsoft

6th May 10	Asset Management	London
Asset Management
Chairman Scott Soper Compliance Director Foster Denovo Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • UCITS IV • RDR/PRIPS interaction • AIFM directive • ARROW visit feedback • Data protection/security • Provision of MI to boards • CAS letter Click here for event summary (pdf)

27th Apr 10	Compliance - Scotland	Edinburgh
Compliance Group
Chairman Tim Kirk Partner BDO LLP Guest Contributor Jeremy Evans Professional Standards Policy Team FSA The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • RDR: professional standards • Complaints transparency • Implications of FSA's new approach to regulation • ARROW visit feedback Click here for event summary (pdf)

26th Apr 10	Complaints Handling	London
Complaints Handling
Chairman John Seaton Principal Consultant Huntswood Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Consumer action groups • FSA/FOS/OFT complaints paper • Thematic reviews • Complainant communications methods • Best practice: working with other industries • Complaint handler productivity: FSA reporting • Quality assurance: balance between independent checking & management oversight • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood

19th Apr 10	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PRE-MEETING 2.30 - 3pm Presenting MI to the Board: Discussion on Best Practice - facilitated by Andrew Smart, Manigent MAIN MEETING 3.15 - 5pm • MI: measuring success • Operational risk modelling • Loss reporting: best practice • Scenarios Click here for event summary (pdf)
Sponsors - BDO LLP & Microsoft

23rd Mar 10	Compliance - Scotland	Edinburgh
Compliance Group
Chairman Peter Downie Company Secretary Money Dashboard The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Consumer Protection Committee • FSA Financial Risk Outlook • RDR: commercial impact • Current climate: comments vs. advice • Client money • PPI - update • Financial promotions Click here for event summary (pdf)

22nd Mar 10	Complaints Handling	Edinburgh
Complaints Handling
Chairman John Seaton Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • New consumer complaints paper • Complaints communications • Interest rates: redress payments • PSD: redress payments • Complaints trends • Other issues Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood

16th Mar 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Bribery Bill update • Data protection and information security breaches • Third-party distributors – AML review • Reliance on fund distributors operating within Taiwan • Record keeping of AML verification documents • Fraud trends Click here for event summary (pdf)
Sponsors - Grant Thornton

15th Mar 10	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Guest Contributor Anita Bradshaw Senior Consultant Logica Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics PRE-MEETING 2.30pm - 3pm KRIs/Risk Appetite - Nationwide presentation/discussion MAIN MEETING 3.15pm • The perfect risk dashboard • Use of risk policies: carrot v. stick approach • Credit crisis: new risks • ICAAP: regulatory update • Liquidity • ARROW and information sharing Click here for event summary (pdf)
Sponsors - BDO LLP & Microsoft

8th Mar 10	Private Wealth Management	London
Private Wealth Management
Chairman Stuart Campbell Associate Director Protiviti Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Market abuse • Offshore clients • RDR • ARROW visit feedback • TCF • Walker review • FSA Financial Outlook Click here for event summary (pdf)
Sponsors - Microsoft

4th Mar 10	Asset Management	London
Asset Management
Chairman Tony Bronk Director BDO LLP Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • RDR • Client money • Oversight of third parties • UCITS IV • Liquidity within funds Click here for event summary (pdf)

1st Mar 10	Complaints Handling	London
Complaints Handling
Chairman John Seaton Principal Consultant Huntswood Tower 42, 25 Old Broad Street EC2N 1HQ (map)	Discussion Topics • Root cause analysis • FSA thematic reviews • Transparency proposals • PPI • Other issues
Sponsors - CDC Respond & Huntswood

23rd Feb 10	Compliance - Scotland	Edinburgh
Compliance Group
Chairman Peter Downie Company Secretary Money Dashboard The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Effective corporate governance (CP10-03) • Publication of complaints data (PS10-01) • Treating Customers Fairly Click here for event summary (pdf)

16th Feb 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Combating insider fraud • Sanctions • Due diligence for PEPs • Bribery and corruption • SARS • Compliance monitoring: resourcing • Fraud trends Click here for event summary (pdf)
Sponsors - Grant Thornton

15th Feb 10	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Guest Contributor Anita Bradshaw Senior Consultant Logica Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Scenarios • Board engagement • Current regulatory climate • Risk appetite/tolerance • Business Continuity Planning • Remuneration • IT and spreadsheet risk • Capturing risk events Click here for event summary (pdf)
Sponsors - BDO LLP & Logica

8th Feb 10	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • RDR • ARROW visit feedback • Suitability • ICAAP • Client assets • Shah vs. HSBC case • Onshore banks with offshore clients • TCF • Other issues Click here for event summary (pdf)
Sponsors - Microsoft

27th Jan 10	Compliance - Scotland	Edinburgh
Compliance - Investment Focus
Chairman Fiona Raistrick Senior Manager, FS Regulatory Practice BDO LLP The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • Information security • PPI: FSA policy statement • Approved persons requirements • ARROW visit feedback • FSA supervision • The Bribery Bill Click here for event summary (pdf)
Sponsors - BDO LLP

25th Jan 10	Complaints Handling	Edinburgh
Complaints Handling
Chairman John Seaton Principal Consultant Huntswood The Balmoral Hotel, Princes Street, Edinburgh EH2 2EQ (map)	Discussion Topics • FSA transparency proposals • FSA thematic review • Root cause analysis • Bank charges • Complaints trends Click here for event summary (pdf)
Sponsors - CDC Respond & Huntswood

19th Jan 10	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Sanctions • The Bribery Bill • Fraud trends • Other issues Click here for event summary (pdf)
Sponsors - Grant Thornton

18th Jan 10	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Guest Contributor Anita Bradshaw Senior Consultant Logica Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • Effectiveness of ERM frameworks • Information security • Embedding the ICAAP • Key risk indicators Click here for event summary (pdf)
Sponsors - BDO LLP & Logica

11th Jan 10	Private Wealth Management	London
Private Wealth Management
Chairman Elinor Murray Senior Manager, Risk Advisory Ernst & Young Tower 42, 25 Old Broad Street, London EC2N 1HQ (map)	Discussion Topics • RDR • ARROW feedback • Issues raised by members Click here for event summary (pdf)
Sponsors - Ernst & Young and Microsoft

7th Jan 10	Asset Management	London
Asset Management
Chairman Richard Walbach Director Clearconcepts Tower 42, 25 Old Broad Street (map)	Discussion Topics • Economic outlook • RDR / PRIPs • Monitoring best execution for OTC trades • ARROW feedback • Conflicts of interest • AIFM directive • FSA Thematic Review: Client Money • Issues raised by members Click here for event summary (pdf)

23rd Nov 09	Complaints Handling	London
Complaints Handling
Chairman Steve Southall Executive Director Ernst & Young Tower 42, 25 Old Broad Street (map)	Discussion Topics • FSA transparency proposals • FOS annual budget review • CMC update • PPI consultation paper • Complaints MI • Current complaints trends Click here for event summary (pdf)
Sponsors - CDC Respond

18th Nov 09	Compliance - Scotland	Edinburgh
Retail - Scotland
Chairman Jeremy Fraser Partner Brodies LLP The Balmoral Hotel, Princes Street (map)	Discussion Topics • FSA supervision • Transparency • BCOBS guidance • Lending Code • Turner Review • Mortgage Market Review • RDR • FSA policy statement on single customer view • BIS review of credit and store cards • Projection rates Click here for event summary (pdf)
Sponsors - Microsoft

17th Nov 09	Financial Crime	London
Financial Crime
Chairman Sterl Greenhalgh Partner Grant Thornton Tower 42, 25 Old Broad Street (map)	Discussion Topics • Preparation for the Bribery Bill • Fraud trends • Integration of financial crime management • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton & Microsoft

16th Nov 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO LLP Guest Contributor Anita Bradshaw Senior Consultant Logica Tower 42, 25 Old Broad Street (map)	Discussion Topics • Succession planning • Regulatory risk • Cultural issues --governance risk --ethics • Event reporting to prediction Click here for event summary (pdf)
Sponsors - BDO LLP & Logica

12th Nov 09	Complaints Handling	Manchester
Complaints Handling
Chairman Tim Buckingham Partner DLA Piper LLP Radisson Hotel, Peter Street (map)	Discussion Topics • Consumer Credit Directive • Consumer White Paper • PPI consultation paper • FOS League tables • CMC update • Current complaint trends • Issues raised by members
Sponsors - CDC Respond

9th Nov 09	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Compliance Director Foster Denovo Tower 42, 25 Old Broad Street (map)	Discussion Topics • RDR • MiFID II • AIFM directive • UCITS IV • TCF • Walker Review • OTC derivatives • General Issues Click here for event summary (pdf)
Sponsors - Foster Denovo & Microsoft

2nd Nov 09	Asset Management	London
Asset Management - Retail
Chairman Elinor Murray Senior Manager, Risk Advisory Ernst & Young Tower 42, 25 Old Broad Street (map)	Discussion Topics • Retail Distribution Review • ARROW visit feedback • UCITS IV • Walker Review • Compliance policies and procedures Click here for event summary (pdf)

21st Oct 09	Compliance - Scotland	Edinburgh
Retail - Scotland
Chairman Allan McGrath Director PricewaterhouseCoopers Guest Contributor Jeremy Fraser Partner Brodies LLP The Balmoral Hotel, Princes Street (map)	Discussion Topics • PPI feedback • White labelling • Financial Services Compensation Scheme • Payment Services Directive • FSA guidelines Click here for event summary (pdf)

20th Oct 09	Financial Crime	London
Financial Crime
Chairman Mark Carter Partner Deloitte LLP Tower 42, 25 Old Broad Street (map)	Discussion Topics • Embedding fraud risk assessment monitoring • Data security --protecting employee data --outsourced IT facilities --IFAs and other third-parties • Risk of operating in other jurisdictions • Risk of social networking sites • Provision of banking services to US citizens • Issues raised by members Click here for event summary (pdf)
Sponsors - Deloitte

19th Oct 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Guest Contributor Anita Bradshaw Senior Consultant Logica Tower 42, 25 Old Broad Street (map)	Discussion Topics • Controls of critical spreadsheets • Root cause analysis - causal categories • Treatment of error profits • Scalability • Swine flu update for BCP Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Logica

12th Oct 09	Private Wealth Management	London
Private Wealth Management
Chairman Tim Rooke Partner Ernst & Young Guest Contributor Anthony Kirby Director Ernst & Young Tower 42, 25 Old Broad Street (map)	Discussion Topics • Remuneration • RDR --training --product panels --operational implications • UCITS IV • BCOBS & Payment Services Directive Click here for event summary (pdf)
Sponsors - Ernst & Young and Microsoft

28th Sep 09	Complaints Handling	London
Complaints Handling
Chairman Phil Byrne Partner Huntswood Tower 42, 25 Old Broad Street (map)	Discussion Topics • FOS league tables • FSA transparency proposals • Root cause analysis • FSA complaints project • CMCs Click here for event summary (pdf)
Sponsors - CDC Respond

22nd Sep 09	Financial Crime	London
Financial Crime
Chairman Simon Dwyer Director KPMG Tower 42, 25 Old Broad Street (map)	Discussion Topics • Corruption Bill • Current fraud typologies • SEPA payments • Data security -- customer communications • Monitoring identity theft • Issues raised by members Click here for event summary (pdf)

16th Sep 09	Compliance - Scotland	Edinburgh
Retail - Scotland
Chairman Jeremy Fraser Partner Brodies LLP Balmoral Hotel, Princes Street (map)	Discussion Topics • Retail Distribution Review • Complaints handling & FOS • Competition Commission draft • Payment Services Directive / BCOBs • Approved persons regime • Issues raised by members Click here for event summary (pdf)

14th Sep 09	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager, Financial Services Group Grant Thornton Tower 42, 25 Old Broad Street (map)	Discussion Topics • Retail Distribution Review • Advice to offshore clients • FSA supervision • Financial climate • Structured products Click here for event summary (pdf)
Sponsors - Microsoft

27th Jul 09	Complaints Handling	Manchester
Complaints Handling
Chairman Matt Malone Partner Huntswood Radisson Hotel, Peter Street (map)	Discussion Topics • Current complaints trends and industry update • FOS league tables • FOS responsibility • Quality assurance • Complaints culture • Root cause analysis: improving MI • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

20th Jul 09	Financial Crime	London
Financial Crime
Chairman Mark Tantam Partner, Forensic and Dispute Services Deloitte Tower 42, 25 Old Broad Street (map)	Discussion Topics • Sanctions best practice • Reviewing systems and services for screening and due diligence • Advances in fuzzy logic • Current fraud typologies • Customer communication: data security risks • Monitoring identity theft • Issues raised by members Click here for event summary (pdf)

20th Jul 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad Street (map)	Discussion Topics • Risk of risk management systems • Managing reputational risk • Business continuity • Records management • Impact of Twitter • Regulatory risk Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward & Logica

15th Jul 09	Compliance - Scotland	Edinburgh
Retail - Scotland
Chairman Catrin Thomas Partner PricewaterhouseCoopers Balmoral Hotel, Princes Street (map)	Discussion Topics • RDR: review of FSA consultation paper • Approved persons regime - FSA feedback • ARROW visit feedback • Risk and corporate governance • Issues raised by members Click here for event summary (pdf)

13th Jul 09	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager, Financial Services Group Grant Thornton Tower 42, 25 Old Broad Street (map)	Discussion Topics • RDR - Professional qualification requirements - Requirements for discretionary funds • Trail: justifying value of service/fees • Financial climate: 6 month outlook • New product ideas: impact on risk and intermediaries • Record keeping • Remuneration • Issues raised by members Click here for event summary (pdf)

22nd Jun 09	Complaints Handling	London
Complaints Handling: Best Practice
Chairman Phil Byrne Senior Consultant Huntswood Tower 42, 25 Old Broad Street (map)	Discussion Topics • Current complaints trends • Industry update • Best practice - Identifying areas for process and performance improvements - Reducing complaints volumes through root cause analysis - Lowering complaints handling timeframes - Improving complaints channels - Making a business case for change •Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

17th Jun 09	Compliance - Scotland	Edinburgh
Sales Process Development
Chairman Jeremy Fraser Partner Brodies Guest Contributor Peter Downie Company Secretary Money Dashboard Balmoral Hotel, Princes Street (map)	Discussion Topics • Sales promotions • Guided vs advised sales • Sales channel considerations - Direct - Indirect • Customer communications • Treating Customers Fairly • Post-sales strategies - Contact strategy - Complaints handling - MI - Escalation • Issues raised by members Click here for event summary (pdf)
Sponsors - Brodies LLP

15th Jun 09	Financial Crime	London
Financial Crime
Chairman Richard Indge Partner Ernst & Young Guest Contributor Jim Burns CTO Financial Services, UK Microsoft Tower 42, 25 Old Broad Street (map)	Discussion Topics • Corruption Bill; FCPA in the UK • Fraud risk in a downturn • Insider trading • Resourcing: quantifying risks • Outsourcing: reviewing third party payments • Reviewing systems and services for screening and due diligence • Issues raised by members Click here for event summary (pdf)
Sponsors - Microsoft

15th Jun 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad Street (map)	Discussion Topics • Executive reporting/board engagement - dashboards - creating value • Managing third-party risk - outsourcing and SLA issues - data issues - intellectual property • Embedding risk appetite/tolerance • Future risks Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Logica

8th Jun 09	Private Wealth Management	London
Private Wealth Management
Chairman Stuart Campbell Associate Director Protiviti Tower 42, 25 Old Broad Street (map)	Discussion Topics • Effectiveness of risk, compliance and internal audit - influence on the business - involvement in derivatives risk management - challenging management on controls and decisions - clarity and independence of reporting lines - assessment and monitoring - board reporting and involvement - feedback from ICAAP visits - allocating appropriate capital levels - articulating risk appetite • Complaints: experience in the current climate • Fraud: quantifying losses; near misses with hard to value assets • RDR: progress and risks • Issues raised by members Click here for event summary (pdf)

1st Jun 09	Asset Management	London
New Product Development
Chairman Scott Soper Senior Manager, Risk & Regulatory Grant Thornton Tower 42, 25 Old Broad Street (map)	Discussion Topics • Impact of proposed Alternative Investment Fund Directive • Key stakeholders: role of compliance • Current market considerations - hedge funds - quantitative easing - counterparty risk - SICAVs • UCITS - disclosure - marketing restrictions across jurisdictions • Risk appetite • Issues raised by members

26th May 09	Complaints Handling	Manchester
Complaints Handling: Best Practice
Chairman Matt Malone Partner Huntswood Radisson Hotel, Peter Street (map)	Discussion Topics • Identifying areas for process and performance improvements • Reducing complaints volumes through root cause analysis • Lowering complaints handling timeframes • Improving complaints channels • Making a business case for change • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

18th May 09	Financial Crime	London
Financial Crime
Chairman Andrew Clark Partner PricewaterhouseCoopers Guest Contributor Peter Burrell Partner Herbert Smith James Burns CTO Financial Services UK Microsoft Tower 42, 25 Old Broad Street (map)	Discussion Topics • FSA paper on sanctions • Safe Custody Review • Automated v. manual monitoring • Bearer shares • Impact of Patriot Act: information requested by correspondent banks in the US • Dawn raids: cold calling • Issues raised by members Click here for event summary (pdf)
Sponsors - Microsoft

18th May 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward BDO Stoy Hayward, 55 Baker Street, W1	Discussion Topics • Scenario analysis/stress testing • Risk & controls - self assessment • Liquidity standards • External loss databases • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward & Logica

11th May 09	Private Wealth Management	London
Private Wealth Management
Chairman Stuart Campbell Associate Director Protiviti Tower 42, 25 Old Broad Street (map)	Discussion Topics • The ICAAP process - Feedback from FSA visits - Sharing risk registers - Allocating appropriate capital levels - Challenging management on controls - The ‘use test’ - Articulating risk appetite • Income accounts: lack of confidence in credit markets • Client reports: forecasting • RDR: update • Issues raised by members

27th Apr 09	Complaints Handling	London
Complaints Handling
Chairman Matt Malone Head of Transformation Huntswood Tower 42, 25 Old Broad Street (map)	Discussion Topics • Complaints League Tables • Current complaint volumes and trends • Consumer Responsibility: FSA DP08-05 • Unenforceable loan agreements • Risk-based repricing • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

22nd Apr 09	Compliance - Scotland	Edinburgh
Retail - Scotland
Chairman Jeremy Fraser Partner Brodies LLP Balmoral Hotel, Princes Street (map)	Discussion Topics • Turner Review • BCOBS • Payment Services Directive • FSA enforcement • Consumer Credit Directive • Financial Promotions issues • Retail Distribution Review update • Issues raised by members Click here for event summary (pdf)
Sponsors - Brodies LLP

20th Apr 09	Financial Crime	London
Financial Crime
Chairman Karen Briggs Partner, Head of Financial Services Forensic KPMG Guest Contributor Jim Burns CTO Financial Services, UK Microsoft Tower 42, 25 Old Broad Street (map)	Discussion Topics • Dawn raids; cold calling • Impact of Patriot Act: information requested by correspondent banks in the US • Automated v. manual monitoring • Quantifying the extent of fraud risk • Common fraud profiles in the current climate • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG and Microsoft

20th Apr 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad Street (map)	Discussion Topics • Managing risks of overseas branches • Corporate governance • Solvency 2 • Spreadsheet risks • SREP • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward

6th Apr 09	Asset Management	London
Third Parties: Relationships and Controls
Chairman Dominic Hill Partner Lovells Tower 42, 25 Old Broad Street (map)	Discussion Topics • Managing counterparty risk • Independent valuations/monitoring performance • Due diligence processes • Monitoring fraud • Data protection and data security issues • Dealing with non-regulated third parties • Issues raised by members Click here for event summary (pdf)

23rd Mar 09	Complaints Handling	Manchester
Complaints Handling
Chairman Matt Malone Head of Transformation Huntswood Radisson Hotel, Peter Street (map)	Discussion Topics • Complaints League Tables • Consumer Responsibility: FSA DP08-05 • Unenforceable loan agreements • Current complaint volumes and uphold rates • Current processes for refunding credit card fees • Risk-based repricing • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

18th Mar 09	Compliance - Scotland	Edinburgh
Compliance: Current Issues
Chairman Peter Downie Company Secretary Money Dashboard Guest Contributor Lindsay Lee Solicitor Brodies LLP Balmoral Hotel, Princes Street (map)	Discussion Topics • Turner Review • Retail Distribution Review • Treating Customers Fairly • PPI • Payment Services Directive • Issues raised by members Click here for event summary (pdf)

16th Mar 09	Financial Crime	London
Financial Crime
Chairman Karen Briggs Partner, Head of Financial Services Forensic KPMG Guest Contributor Jim Burns CTO Financial Services UK Microsoft Tower 42, Old Broad Street, EC2 (map)	Discussion Topics • FSA recommendations from the Financial Risk Outlook paper - Managing increased fraud risk in the current environment - Monitoring shifting trends - Procedures for handling market rumours • ARROW visits: what to expect • Whistleblowing lines • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG and Microsoft

16th Mar 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad Street, EC2 (map)	Discussion Topics • Stress testing • Liquidity standards • Reputational risk • Information risks: benchmarking against FSA standards • Capital adequacy vs. individual risks • Managing risks of overseas branches • SREP • Risks in the current climate Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward

9th Mar 09	Private Wealth Management	London
Private Wealth Management
Chairman Rob Nieves Director, Business Risk Protiviti Tower 42, 25 Old Broad Street (map)	Discussion Topics • Liquidity standards • Stress testing • TCF: Progress report • Counterparty risk • Current fraud trends and risks • Hedge funds update • Industry update: market conditions • Issues raised by members Click here for event summary (pdf)

2nd Mar 09	Asset Management	London
Derivatives Risk Management
Chairman Jonathan Herbst Partner Norton Rose Tower 42, 25 Old Broad Street (map)	Discussion Topics • Performance management • Data control, accurate asset valuations • Risk disclosure • Risk assessment • Risk controls and monitoring • Training and competence • Reducing counterparty risk • Issues raised by members Click here for event summary (pdf)

23rd Feb 09	Compliance - Scotland	Edinburgh
Communications in a Difficult Climate
Chairman Jeremy Fraser Partner Brodies Balmoral Hotel, Princes Street (map)	Discussion Topics Keeping Customers Informed • Avoiding confusion vs scaremongering • PPI Marketing and Communicating Product Information • Current examples • Keeping information up-to-date • Total premium issue • Risk warnings: tailoring to climate Changes to Products/Terms & Conditions • Current examples • Distance marketing regulations • Illustrations on contracting out Customer Communications • Query handling • Valuations • Complaints: managing peaks and troughs • Lending policies (SMEs) • Arrears handling • Media impact TCF • Transparency • General update Internal Communications • Staff morale • Managing market conditions • Managing media impact RDR: General Update Click here for event summary (pdf)

23rd Feb 09	Complaints Handling	London
Complaints Handling
Chairman Kate Davies Senior Manager Mazars Guest Contributor Dr Sharon Gilad Research Officer, Centre for Analysis of Risk and Regulation London School of Economics Tower 42, 25 Old Broad Street (map)	Discussion Topics • Bank charges test case: implications and preparations • PPI: impact of Competition Commission ruling • Complaints league tables: implications and preparations • Current complaint trends - Risk-based pricing - Unenforceable loan agreements • FOS: current issues and response to corporate plan 2009/2010 • Outlook for complaints in 2009 • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

16th Feb 09	Financial Crime	London
Financial Crime
Chairman David Hicks Partner, Financial Services KPMG Guest Contributor Jim Burns CTO Financial Services UK Microsoft Tower 42, Old Broad Street, EC2 (map)	Discussion Topics • Third party distributors: due diligence, monitoring, distribution agreements • Inducements • TCF • Section 166 Skilled Persons Reports: enforcement or supervision? • Outsourcing KYC • Reporting structures: AML, fraud, crime, security • Staff vetting • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG and Microsoft

16th Feb 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad Street EC2 (map)	Discussion Topics SREP • Embedding capital adequacy into systems: self-assessment • ICAAP: bottom-up risks Operational Risk: Current Climate • Embedding into systems • Different methodologies • Risk of cutbacks and business enhancements Systems For Managing Risk • Embedding controls • Options for running risk teams • Measuring risk: management committees Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward

9th Feb 09	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager, Risk & Regulatory Grant Thornton Tower 42, 25 Old Broad Street (map)	Discussion Topics • Impact of recent events on: - Due diligence processes for counterparties - Range of instruments used within client portfolios - Evidencing appropriate performance and portfolio construction for clients - Trade volumes with in house or tied brokers - Valuations of unquoted securities • Managing the impact of hedge funds on clients • Monitoring client positions and counterparty exposure in periods of intense trading activity and extreme market volatility • Client identification by dealing desk • Issues raised by members Click here for event summary (pdf)

28th Jan 09	Compliance - Scotland	Edinburgh
Retail Distribution Review
Chairman Stephen Kelly Risk and Capital Management Practice Leader Grant Thornton Balmoral Hotel, Princes St (map)	Discussion Topics • FSA Feedback Statement: update and impact • New advisory models: clarity or confusion? • Remuneration post-RDR • IFAs: managing relationships, training and contracts • TCF: client communications and expectations • Transition: timeframes and progress • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton

26th Jan 09	Complaints Handling	Manchester
Complaints Handling
Chairman Roger McCourt Partner, Financial Litigation DLA Piper Radisson Hotel, Peter Street (map)	Discussion Topics • Bank Charges Test Case: What preparatory work, if any, is currently undergoing in the event that banks lose the appeal to the test case? • PPI and the likely impact of the Competition Commission ruling • Arrears and repossessions: setting policy and verifying financial hardship • Complaints league tables: implications and preparations; sharing current reporting practices for benchmarking purposes • Current FOS issues • Outlook for complaints in 2009 • Issues raised by members Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

19th Jan 09	Financial Crime	London
Financial Crime
Chairman Karen Briggs Partner, Head of Financial Services, Forensic KPMG Guest Contributor Jim Burns CTO Financial Services UK Microsoft Tower 42, Old Broad Street, EC2 (map)	Discussion Topics • New fraud techniques; industry trends • New customer vetting: comparing different approaches across the industry • Risk weighting methods • Software for KYC • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG and Microsoft

19th Jan 09	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad Street (map)	Discussion Topics • SREP • Merging risk and compliance teams • Usefulness of economic capital and alternatives • Hedge funds - short selling restrictions • Risks of dealing with regulators • General points
Sponsors - BDO Stoy Hayward

12th Jan 09	Private Wealth Management	London
Retail Distribution Review
Chairman Julian Bartlett Partner Grant Thornton Tower 42, 25 Old Broad Street (map)	Discussion Topics • Retail Distribution Review - Remuneration - Advice - Professional Standards - Industry opinion • TCF • Fair values on unquoted securities • Industry outlook for 2009 • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton

5th Jan 09	Asset Management	London
Retail Distribution Review
Chairman Ashley Carter Chief Executive, Regulatory Outsourcing Grant Thornton Guest Contributor Andy Maysey Senior Advisor, Retail Distribution Investment Management Association Tower 42, 25 Old Broad Street (map)	Discussion Topics • FSA Feedback Statement: update and impact • New advisory models: clarity or confusion? • Remuneration post-RDR • IFAs: managing relationships, training and contracts • TCF: client communications and expectations • Transition: timeframes and progress • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton

24th Nov 08	Financial Promotions	Edinburgh
Financial Promotions
Chairman Jeremy Fraser Partner Brodies Balmoral Hotel, Princes St (map)	Discussion Topics • Impact of new ICOB rules • The Payment Services Directive • Treating Customers Fairly • Impact of economic downturn • Issues raised by members

24th Nov 08	Complaints Handling	London
Complaints Handling
Chairman Paul Willis Principal Consultant Huntswood Tower 42, 25 Old Broad Street (map)	Discussion Topics • Competition Commission: Bank Charges Test Case • FSA Transparency Proposals: Preparation for League Tables • Centralisation: Advantages and Disadvantages • Fees: Sharing Policies and Approaches • Complaints Champions • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

19th Nov 08	Compliance - Scotland	Edinburgh
Principles-Based Regulation
Chairman Andrew Shiels Principal Consultant KPMG Balmoral Hotel, Princes St (map)	Discussion Topics • A principles-based approach at a group/international level • Turning principles into rules; internal standards • Evidencing to the FSA • Senior management buy-in • Education and training • Impact of 'credit crunch' • Issues raised by members Click here for event summary (pdf)

17th Nov 08	Financial Crime	London
Financial Crime
Chairman Karen Briggs Partner Head of Financial Services, Forensic KPMG Guest Contributor James Burns CTO Financial Services, UK Microsoft Tower 42, 25 Old Broad Street, EC2 (map)	Discussion Topics • Relationships between SOCA and the police • Business training: CBT, tools and approaches • Fraud measurement: losses and near misses • Data security -- Results from gap analyses -- Responses to the FSA -- New ICO powers • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG and Microsoft

17th Nov 08	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad St (map)	Discussion Topics • Business continuity and disaster recovery programmes • Stress testing • Risk/reward/compensation • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle

10th Nov 08	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager, Risk and Regulatory Grant Thornton Tower 42, 25 Old Broad St (map)	Discussion Topics • Market conditions • Conflicts of interest and inducements • Best execution • Verification of third party fund factsheets • RDR • Implementing principles-based regulation • TCF: preparing for ARROW visits • Issues raised by members Click here for event summary (pdf)

3rd Nov 08	Asset Management	London
Market Abuse
Chairman Rob Nieves Director, Business Risk Protiviti Tower 42, 25 Old Broad St (map)	Discussion Topics • Suspicious Transaction Reports • Chinese walls – national and international issues. • Internal monitoring – risk-based approach • Effect of a whistleblower system • Rumours and misleading information – can it be stopped? • Corporate governance • Evidencing to the regulator • Issues raised by members Click here for event summary (pdf)

28th Oct 08	Financial Promotions	London
Financial Promotions
Chairman Paul Jennings Senior Manager, Regulatory Ernst & Young The City Club, 19 Old Broad St (map)	Discussion Topics TCF • Embedding • Demonstrating • Changing promotions Impact of Economic Downturn • Messaging in a crisis • Resource cutbacks Issues raised by members Click here for event summary (pdf)

27th Oct 08	Complaints Handling	Manchester
Complaints Handling
Chairman Rod Hepple-Wilson Director, Regulatory Advisory Mazars The Radisson Hotel, Peter Street (map)	Discussion Topics • PPI: Wider Implications Review • FSA Transparency Proposals: Update • Post-ARROW visits: Feedback • Root Cause Analysis: Evidencing the Product Lifecycle • Complaint Champions • Measuring productivity: Variants; Modelling • Centralisation: Advantages and Disadvantages • Cost of Handling Escalated Complaints • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

22nd Oct 08	Compliance - Scotland	Edinburgh
TCF: Meeting the Deadline
Chairman Paul Jennings Senior Manager, Regulatory Ernst & Young Balmoral Hotel, Princes St (map)	Discussion Topics • Progress on embedding • Evidencing • Cultural change: challenges • Meeting the deadline • Feedback from FSA visits • Issues raised by members Click here for event summary (pdf)

20th Oct 08	Financial Crime	London
Financial Crime
Chairman Karen Briggs Partner Head of Financial Services, Forensic KPMG Guest Contributor Jennifer Hammond Director KPMG Tower 42, 25 Old Broad Street, EC2 (map)	Discussion Topics • FCPA • Cross-sector co-operation - Assurance: compliance monitoring; role of internal audit - Measurement: defining losses/near misses - Fraud scams - typology • Sanctions - FSA paper - EU sanctions • Ethics: policy and training • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG and Microsoft

20th Oct 08	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad St (map)	Discussion Topics • Business Continuity and Disaster Recovery programmes • Risk: appetite, tolerance, capacity - Assessment processes & authority levels - Sharing processes and ideas - Putting the use test into practice • Use of non-risk data - Behavioural data and trends • Involvement of operational risk in M&A activity • Retrospective legislation, FOS decisions on pre 2005 cases • Reputational risk - measuring non-financial impacts, downtime • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle

13th Oct 08	Private Wealth Management	London
Private Wealth Management
Chairman Ian Woodhouse Director, Investment Management and Private Banking Ernst & Young Tower 42, 25 Old Broad St (map)	Discussion Topics • Feedback on FSA visits • TCF progress • Rebates and retrocessions post-MiFID • Collective Investment Schemes • Market conditions and customer confidence • Issues raised by members Click here for event summary (pdf)

13th Oct 08	Retail - North	Manchester
TCF: Meeting the Deadline
Chairman Anya O'Reilly Senior Manager, Financial Services Assurance PricewaterhouseCoopers Radisson, Peter St (map)	Discussion Topics • Progress on embedding • Evidencing • Cultural change: challenges • Meeting the deadline • Feedback from FSA visits • Issues raised by members Click here for event summary (pdf)

6th Oct 08	Asset Management	London
UCITS III
Chairman Rob Nieves Director, Business Risk Protiviti Tower 42, 25 Old Broad St (map)	Discussion Topics • UCITS III and the MiFID regime • Implementation across Europe • Product performance • Revisions to the Simplified Prospectus • UCITS IV – potential changes • Issues raised by members Click here for event summary (pdf)

1st Oct 08	Ireland	Dublin
Root Cause Analysis and MI
Chairman Colm McDonnell Partner, Enterprise Risk Services Deloitte & Touche Clarence Hotel, Wellington Quay (map)	Discussion Topics • Benchmarking study: results summary • Capturing complaints and feedback data • Service levels and staff incentives • Root cause analysis processes • MI: demonstrating progress and value • Managing complaints volumes • Driving cultural change Click here for event summary (pdf)
Sponsors - CDC Respond

22nd Sep 08	Financial Promotions	Edinburgh
Financial Promotions
Chairman Jeremy Fraser Partner Brodies Balmoral Hotel, Princes St (map)	Discussion Topics • Retail Distribution Review • Treating Customers Fairly • FSA ARROW visit feedback • Dual branding and third-party distributor documentation • Own initiative variation of permissions • Other issues raised by delegates Click here for event summary (pdf)

22nd Sep 08	Complaints Handling	London
Complaints Handling
Chairman Jenny Clayton Director Ernst & Young Tower 42, 25 Old Broad Street (map)	Discussion Topics • TCF MI: feedback from benchmarking exercise • Responses to FSA paper on transparency • Issues raised by members Click here for event summary (pdf)
Sponsors - Ernst & Young and CDC Respond

15th Sep 08	Operational Risk	London
Operational Risk
Chairman Nick Lane Financial Services Manager Risk and Advisory Services BDO Stoy Hayward Tower 42, 25 Old Broad St (map)	Discussion Topics • Operational risk hedging • Short selling • Valuation of illiquid instruments • Integrated risk and finance • Operational risk and process engineering • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle

15th Sep 08	Compliance - Scotland	Edinburgh
Data Security: Assessing Risks
Chairman Richard Neave Director PricewaterhouseCoopers Balmoral Hotel, Princes St (map)	Discussion Topics • Managing internal systems and controls • Staff policies procedures • Culture • Corporate governance • Managing third party data risk • Due diligence • Identity theft • Customer experience, creating a balance • Issues raised by members Click here for event summary (pdf)

8th Sep 08	Private Wealth Management	London
Private Wealth Management
Chairman Scott Soper Senior Manager, Risk and Regulatory Grant Thornton Tower 42, 25 Old Broad St (map)	Discussion Topics • Market conditions and customer confidence • TCF • Structured products • Disclosure and Transparency Regime: monitoring • Issues raised by members Click here for event summary (pdf)

8th Sep 08	Retail - North	Leeds
Data Security: Assessing Risks
Chairman Sian Herbert Partner PricewaterhouseCoopers Radisson, Number 1, The Light (map)	Discussion Topics • Managing internal systems and controls • Staff policies procedures • Culture • Corporate governance • Managing third party data risk • Due diligence • Identity theft • Customer experience, creating a balance • Issues raised by members Click here for event summary (pdf)

28th Jul 08	Financial Promotions	London
Financial Promotions
Chairman Peter Snowdon Partner Norton Rose Tower 42, 25 Old Broad St (map)	Discussion Topics • Retail Distribution Review: impact on promotions • Impact of ICOB and principles-based regulation • TCF deadlines • Dual branding and third party distributor documentation • Own-initiative variation of permission • Open Market Option disclosure • Issues raised by members Click here for event summary (pdf)

28th Jul 08	Complaints Handling	Manchester
Complaints Handling
Chairman Cathryn Rees Senior Consultant Huntswood The Radisson Hotel, Peter Street (map)	Discussion Topics • TCF MI • Industry trends • Quality checking and monitoring • Customer communication methods • Reducing complaint volumes • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

21st Jul 08	Financial Crime	London
Financial Crime
Chairman Karen Briggs Partner Head of Financial Services, Forensic KPMG Tower 42, 25 Old Broad St (map)	Discussion Topics • Cross-sector co-operation • Insider fraud • Risk managent • Sanctions • Other issues Click here for event summary (pdf)
Sponsors - KPMG

21st Jul 08	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad St (map)	Discussion Topics • Outsourcing • Technology risk • Solvency II • Profits from operational errors • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward & Oracle

21st Jul 08	Compliance - Scotland	Edinburgh
TCF: Embedding
Chairman Chris Terry Director Deloitte Balmoral Hotel, Princes St (map)	Discussion Topics • Meeting the December deadline • Senior management responsibilities • Effecting a cultural change • Evidencing the six outcomes • TCF and regulatory enforcement • Generating and evidencing MI • Issues raised by members Click here for event summary (pdf)
Sponsors - Deloitte

14th Jul 08	Private Wealth Management	London
Private Wealth Management
Chairman Anthony Kirby Director Ernst & Young Tower 42, 25 Old Broad St (map)	Discussion Topics • Industry trends • TCF update • MI • Data security • Internal fraud • Hold mail accounts • Issues raised by members Click here for event summary (pdf)

14th Jul 08	Retail - North	Manchester
TCF: Embedding
Chairman Rob Hayes Consultant Provience Radisson Hotel, Peter St (map)	Discussion Topics • Meeting the December deadline • Senior management responsibilities • Effecting a cultural change • Evidencing the six outcomes • TCF and regulatory enforcement • Generating and evidencing MI • Issues raised by members Click here for event summary (pdf)

7th Jul 08	Asset Management	London
TCF: Embedding
Chairman Dominic Hill Partner Lovells Guest Contributor Andy Maysey Senior Adviser, Retail Distribution Investment Management Association Tower 42, 25 Old Broad St (map)	Discussion Topics • Meeting the December deadline • Senior management responsibilities • Effecting a cultural change • Evidencing the six outcomes • TCF and regulatory enforcement • Generating and evidencing MI • Issues raised by members Click here for event summary (pdf)

23rd Jun 08	Complaints Handling	London
Complaints Handling
Chairman Eric Leenders Executive Director British Bankers Association Tower 42, 25 Old Broad St (map)	Discussion Topics • Measuring customer satisfaction • Information security • Reportable complaints • PPI thematic review • TCF update; FSA feedback • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

23rd Jun 08	Financial Promotions	Edinburgh
Financial Promotions
Chairman Jeremy Fraser Partner Brodies Balmoral Hotel, Princes St (map)	Discussion Topics • Past Performance; brand advertising • UCITS • MCOB • Legislation; Unfair Commercial Practice Directive • Promotion of structured products • Issues raised by members Click here for event summary (pdf)

16th Jun 08	Compliance - Scotland	Edinburgh
MI: Mission Impossible?
Chairman Tim Kirk Managing Director The Kirk Consultancy Guest Contributor Jim Burns CTO Financial Services UK Microsoft Balmoral Hotel, Princes St (map)	Discussion Topics • Collecting the right information • Data analysis • Instigating and evidencing change • Ownership • TCF and corporate culture • Issues raised by members Click here for event summary (pdf)
Sponsors - Microsoft

16th Jun 08	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad St (map)	Discussion Topics • Financial crime governance • Change management • Forward-looking risk management • Incentives and risk • Educating the board • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle

16th Jun 08	Financial Crime	London
Financial Crime
Chairman Brian Dilley Head of EMEA AML Services KPMG Tower 42, 25 Old Broad St (map)	Discussion Topics • Financial crime risk management: approach and implementation • Data Leakage: security controls and facilitating fraud • Financial Crime: cross-organisational and cross-border coordination • Developments in financial and economic sanctions • Bribery and Corruption • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG

9th Jun 08	Retail - North	Leeds
MI: Mission Impossible?
Chairman Andrew Howgego Senior Manager KPMG Radisson Hotel, No 1, The Light (map)	Discussion Topics • Collecting the right information • Data analysis • Instigating and evidencing change • Ownership • TCF and corporate culture • Issues raised by members Click here for event summary (pdf)

2nd Jun 08	Asset Management	London
MI: Mission Impossible?
Chairman Andrew Wheeler Principal Consultant Huntswood Tower 42, 25 Old Broad St (map)	Discussion Topics • Collecting the right information • Data analysis • Instigating and evidencing change • Ownership • TCF and corporate culture • Issues raised by members Click here for event summary (pdf)

27th May 08	Complaints Handling	Manchester
Complaints Handling
Chairman Naomi King Clearconcepts Radisson Hotel, Peter St	Discussion Topics • FOS Jurisdiction • The Hunt Review • Information Security • Root Cause Analysis Progress • Feedback from FSA visits • TCF Update • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

27th May 08	Financial Promotions	London
Financial Promotions
Chairman Dominic Hill Partner Lovells Tower 42, 25 Old Broad St	Discussion Topics • Past Performance; brand advertising • UCITS • MCOB • Legislation; Unfair Commercial Practice Directive • Promotion of structured products • Issues raised by members Click here for event summary (pdf)

19th May 08	Compliance - Scotland	Edinburgh
Financial Crime
Chairman David Buchanan-Cook Manager, Forensic Financial Services KPMG Guest Contributor Jim Burns CTO Financial Services Microsoft UK Balmoral Hotel, Princes St	Discussion Topics Identity Theft • Phishing • Related fraud • Protection in products Data Security • Validation; telephone verification • Regulatory approach Customer Feedback • Security vs. experience Credit Crunch Mortgage Fraud Internal Crime SOCA reporting Issues raised by members Click here for event summary (pdf)
Sponsors - Microsoft

19th May 08	Operational Risk	London
Operational Risk
Chairman George Quigley Partner BDO Stoy Hayward Tower 42, 25 Old Broad St	Discussion Topics • Enterprise risk management • Risk and control self-assessment • External event analysis • Impact of Treating Customers Fairly • Issues raised by members Click here for event summary (pdf)
Sponsors - BDO Stoy Hayward and Oracle

19th May 08	Financial Crime	London
Financial Crime
Chairman David Hicks Partner, Forensic KPMG LLP Tower 42, 25 Old Broad St	Discussion Topics • FCPA: global approach to bribery and corruption • Anti-corruption - reinventing KYC • Sanctions • Data security risks • Issues raised by members Click here for event summary (pdf)
Sponsors - KPMG

12th May 08	Retail - North	Manchester
Financial Crime
Chairman Brian Marks Senior Manager, Forensic Financial Services KPMG Radisson Hotel, Peter St (map)	Discussion Topics Identity Theft • Phishing • Related fraud • Protection in products Data Security • Validation; telephone verification • Regulatory approach Customer Feedback • Security vs. experience Credit Crunch Mortgage Fraud Internal Crime SOCA reporting Issues raised by members Click here for event summary (pdf)

12th May 08	Private Wealth Management	London
Private Wealth Management
Chairman John Liver Partner Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • TCF implementation experiences • MI in the business • Current industry trends • Governance and SYSC rules • Fraud • Anti-money laundering • Working with intermediaries • Issues raised by members Click here for event summary (pdf)

6th May 08	Asset Management	London
MiFID: Embedding and Training
Chairman Rob Nieves Director, Business Risk Protiviti Tower 42, 25 Old Broad St	Discussion Topics • MiFID update: exemptions for non-MiFID business • Best execution • Outsourcing • Inducements • Conflicts of interest • Client categorisation • Europe- ongoing implementation issues • Issues raised by members Click here for event summary (pdf)

28th Apr 08	Financial Promotions	Edinburgh
Financial Promotions
Chairman Jeremy Fraser Partner Brodies Balmoral Hotel, Princes St	Discussion Topics • TCF update • Web-based promotions • Complex charging structures • Outsourcing • Key Facts Documents • Legacy products • Electronic provision of product literature • Issues raised by members Click here for event summary (pdf)

28th Apr 08	Complaints Handling	London
Complaints Handling
Chairman Rod Hepple-Wilson Director Mazars Tower 42, 25 Old Broad St	Discussion Topics • Implications of bank charges ruling • Complaints volumes • Triage processes: best practice • TCF update • FSA enforcement • Qualitative complaints MI • Issues raised by members Click here for event summary (pdf)
Sponsors - Mazars & CDC Respond

21st Apr 08	Compliance - Scotland	Edinburgh
PPI: Managing the Impact
Chairman Sarah Willison Consultant Balmoral Hotel, Princes St	Discussion Topics • Product design • Pricing • Market entry; distribution • Remuneration • Sales process; advice • FOS; managing responses • Appetite for change • Repayment programmes • Risk management • Issues raised by members Click here for event summary (pdf)

21st Apr 08	Operational Risk	London
Operational Risk
Chairman Thomas Wenzel UK Head of Risk Management BearingPoint Tower 42, 25 Old Broad St	Discussion Topics • Firms’ top 5 KRIs • Ownership of the ICAAP process • New products process • Governance • COSO / COBIT: outstanding audit issues • Issues raised by members Click here for event summary (pdf)
Sponsors - BearingPoint & Oracle

21st Apr 08	Financial Crime	London
Financial Crime
Chairman Brian Dilley EMEA Head of AML Services KPMG Tower 42, 25 Old Broad St	Discussion Topics Financial Crime Systems and Controls/Risk Management • Shaping an approach to financial crime • Strategies and policies • Governance: an approach to financial crime and control framework • Joined-up financial control approach: fraud; money laundering; market abuse; FCPA (Bribery and Corruption) • Financial crime risk assessment • Industry benchmarking Impact of Organised Crime • Internal threats • External threats • Recent industry examples Identity Theft • KYC, KYE • Data mining • Profiling IT Security • Consolidation of IT fraud risk • Integration into overall crime approach • Recent cases • Regulatory approach Trading Fraud • Recent examples; soft and hard issues • Controls Click here for event summary (pdf)
Sponsors - KPMG

14th Apr 08	Retail - North	Leeds
PPI: Managing the Impact
Chairman Andrew James Principal Consultant PricewaterhouseCoopers Radisson Hotel, No 1, The Light	Discussion Topics • Product design • Pricing • Market entry; distribution • Remuneration • Sales process; advice • FOS; managing responses • Appetite for change • Repayment programmes • Risk management • Issues raised by members Click here for event summary (pdf)

14th Apr 08	Asset Management - MiFID	London
Asset Management - MiFID
Chairman Naomi King Clearconcepts The City Club, 19 Old Broad St	Discussion Topics MiFID • Evidencing to the regulator • Record keeping, telephone recording TCF and Principles-Based Regulation • MI • Recording decision-making processes • Product review and disclosure • Ongoing monitoring/ risk-based approach UCITS/Eligible Assets Directive Issues raised by members Click here for event summary (pdf)

14th Apr 08	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Angela Teke Director of Compliance UBS The City Club, 19 Old Broad St	Discussion Topics • Post deadline implementation experiences • Impact of MiFID on the business • TCF and MiFID • Client Consent • MiFID upcoming issues for 2008 • Current market turmoil: impact on MiFID • Issues raised by members Click here for event summary (pdf)

14th Apr 08	Private Wealth Management	London
Private Wealth Management
Chairman Patrick Storey Partner Grant Thornton Guest Contributor Emma Noble Senior Solicitor Brodies Tower 42, 25 Old Broad St	Discussion Topics • Treating Customers Fairly • MI • Retail Distribution Review • Platforms: FSA update; principles-based regulation • Wealth management: current trends • Market volatility • MiFID: suitability / appropriateness • MiFID: transaction reporting • Issues raised by members Click here for event summary (pdf)

7th Apr 08	Asset Management	London
UCITS 3
Chairman Julian Bartlett Partner Grant Thornton Tower 42, 25 Old Broad St	Discussion Topics • Product development - Disclosure - Monitoring - Performance • New instrument development process • Risk appetite • Recording the decision-making process • Risk management systems • Issues raised by members Click here for event summary (pdf)

25th Mar 08	Complaints Handling	Manchester
Complaints Handling
Chairman Elliot Dunseath Manager, Regulatory Practice Ernst & Young Radisson Hotel, Peter St	Discussion Topics • TCF: meeting the deadline • Charging redress payments back to the business • Targeting complaints handlers • Discrimination complaints • The FOS focus on PPI • Qualitative complaints MI • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

25th Mar 08	Financial Promotions	London
Financial Promotions
Chairman Patrick Brandt Partner, Financial Services Dundas & Wilson Tower 42, 25 Old Broad St	Discussion Topics • TCF update • Web-based promotions • Complex charging structures • Outsourcing • Key Facts Documents • Legacy products • Electronic provision of product literature • Issues raised by members Click here for event summary (pdf)

17th Mar 08	Compliance - Scotland	Edinburgh
Working with Principles
Chairman Serena Joseph Partner Mazars Balmoral Hotel, Princes St	Discussion Topics • Monitoring and auditing • The changing role of compliance • Remuneration • Changing culture: outcomes & opportunities • Internal standards: consistency across the business • Evidencing to the FSA • Senior management buy-in • Education and training • Issues raised by members Click here for event summary (pdf)
Sponsors - Mazars

17th Mar 08	Operational Risk	London
Operational Risk
Chairman Stephen Kelly Senior Manager, Financial Services Group Grant Thornton Tower 42, 25 Old Broad St	Discussion Topics • Horizon risks; futureologists • KRI's; reactive dashboards • Risk appetite • ICAAPs; learnings and approaches • Risk alignment; creating a level playing field • Working with principles-based regulation • Widening the operational risk community • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton & Oracle

10th Mar 08	Retail - North	Manchester
Working with Principles
Chairman Richard Adnett Director PricewaterhouseCoopers Radisson Hotel, Peter St	Discussion Topics • Monitoring and auditing • The changing role of compliance • Remuneration • Changing culture: outcomes & opportunities • Internal standards: consistency across the business • Evidencing to the FSA • Senior management buy-in • Education and training • Issues raised by members Click here for event summary (pdf)
Sponsors - PricewaterhouseCoopers

10th Mar 08	Asset Management - MiFID	London
Asset Management - MiFID
Tower 42, 25 Old Broad St	Discussion Topics MiFID • MI • Outsourcing (non EEA) • CSAs/Cost of research TCF • Provider distributor relationships • Due diligence • Monitoring sales and consistency • MI FSA • Visits and enforcement Issues raised by members Click here for event summary (pdf)
Sponsors - Microsoft

10th Mar 08	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Simon Crown Senior Associate Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics MiFID • Transaction Reporting • Best execution for non-listed instruments • Disclosures/inducements • Embedding • MI • FSA enforcement TCF • MI • Embedding • Financial Promotions Issues raised by members Click here for event summary (pdf)

3rd Mar 08	Asset Management	London
Working with Principles
Chairman Colleen Patterson Management Consultant Huntswood Tower 42, 25 Old Broad St	Discussion Topics • Monitoring and auditing • The changing role of compliance • Remuneration • Changing culture: outcomes & opportunities • Internal standards: consistency across the business • Evidencing to the FSA • Senior management buy-in • Education and training • Issues raised by members Click here for event summary (pdf)

28th Feb 08	General Interest	London
Customer Communications
Chairman Rob Hayes Hayes Associates Tower 42, 25 Old Broad St	Discussion Topics • Customer Segmentation • The Customer Journey • Brand Values: Internal and External Communications • Financial Promotions: Sales & Marketing vs. Compliance • Working with 3rd Parties • Treating Customers Fairly Click here for event summary (pdf)

25th Feb 08	Complaints Handling	London
Complaints Handling
Chairman Jenny Clayton & Elliot Dunseath Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics •PPI/Default fees - Managing and predicting peaks in complaints •SLAs - Setting and meeting achievable service levels •Staff culture - Controlling staff responsibility and providing training •MI - Tracking patterns of complaints; monitoring multiple complaints •Principles-based regulation - Utilising flexibility in the new approach but maintaining service levels •Outsourcing - Finding resource and expertise; improving effectiveness • Issues raised by members Click here for event summary (pdf)
Sponsors - Ernst & Young & CDC Respond

25th Feb 08	Financial Promotions	Edinburgh
Financial Promotions
Chairman Aidan Campbell Senior Associate Dundas & Wilson Balmoral Hotel, Princes St	Discussion Topics • Tailoring promotions • Risk warnings • Capturing feedback • Evidencing to the FSA • TCF and working within principles-based regulations • Issues raised by members Click here for event summary (pdf)

18th Feb 08	Compliance - Scotland	Edinburgh
Working with Third Parties
Chairman Brendan Bryce Director, Risk Assurance Services PricewaterhouseCoopers Guest Contributor Emma Noble Senior Solicitor Brodies Balmoral Hotel, Princes St	Discussion Topics • Imposing/regulating TCF standards • Due diligence • Monitoring sales and consistency • Outsourcing: Internal & External • Call centres abroad: TCF compliance • Data protection/data security • Dealing with non-regulated third parties • Issues raised by members Click here for event summary (pdf)

18th Feb 08	Operational Risk	London
Operational Risk
Chairman Darren Munday Associate Director Protiviti Tower 42, 25 Old Broad St	Discussion Topics • Embedding operational risk practice • Operational risk: evidencing value • Risk convergence: realigning the business • Pillar 3 waiver • Future regulations; impact of 2007 • Experiences of rating agencies • Experiences of IT tools • Issues raised by members Click here for event summary (pdf)
Sponsors - Protiviti & Oracle

11th Feb 08	Retail - North	Leeds
Distribution: Working with Third Parties
Chairman Alastair Noble Senior Manager, Regulatory Practice PricewaterhouseCoopers Radisson Hotel, No 1, The Light	Discussion Topics • Imposing/regulating TCF standards • Due diligence • Measuring sales and consistency • Outsourcing: Internal & External • Call centres abroad: TCF compliance • Data protection/data security • Dealing with non-regulated third parties • Issues raised by members Click here for event summary (pdf)

11th Feb 08	Asset Management - MiFID	London
Asset Management - MiFID
Chairman Elinor Murray Senior Manager Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • MiFID/UCITS update • Transaction Reporting • Best Execution: evidence; reporting to clients • Outsourcing • TCF • Promotions under MiFID • Issues raised by members Click here for event summary (pdf)

11th Feb 08	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Simon Crown Senior Associate Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Compliance monitoring • Incorporating MiFID processes into standard monitoring • Client classification • FSA supervisory priorities • MI • Customer response/benefits • Issues raised by members Click here for event summary (pdf)

4th Feb 08	Asset Management	London
Distribution: Working with Third Parties
Chairman Scott Soper Senior Manager, Regulatory Grant Thornton Tower 42, 25 Old Broad St	Discussion Topics •Imposing/regulating TCF standards •Due diligence •Monitoring sales and consistency •Outsourcing: internal & external •Call centres abroad: TCF compliance •Data protection/data security •Dealing with non-regulated third parties • Issues raised by members Click here for event summary (pdf)
Sponsors - Grant Thornton

28th Jan 08	Complaints Handling	Manchester
Complaints Handling
Chairman Elliot Dunseath Manager, Regulatory Practice Ernst & Young Radisson Hotel, Peter St	Discussion Topics • TCF: consistency across the business; March deadline • MI: reports; demonstrating progress • FOS: Rulings; Hunt Review • PPI: managing volumes; collecting MI • Measuring customer satisfaction • Issues raised by members Click here for event summary (pdf)
Sponsors - CDC Respond

28th Jan 08	Financial Promotions	London
Financial Promotions
Chairman Paul Jennings Senior Manager, Regulatory Ernst & Young Tower 42, 25 Old Broad Street	Discussion Topics • Tailoring promotions • Risk warnings • Capturing feedback • Evidencing to the FSA • TCF and working within principles-based regulations • Issues raised by members

21st Jan 08	Compliance - Scotland	Edinburgh
TCF: Embedding into the Business
Chairman Andrew Shiels Principal Advisor KPMG Balmoral Hotel, Princes St	Discussion Topics • March deadline: project progress • MI - collection and analysis • Utilising MI in the business • Effecting a cultural change • TCF: post-sale • Measuring outcomes • Senior management buy-in • Issues raised by members Click here for event summary (pdf)

21st Jan 08	Operational Risk	London
Operational Risk
Chairman Charles Beach Director, Risk Management PricewaterhouseCoopers Tower 42, 25 Old Broad St	Discussion Topics • Indirect impacts - regulatory, reputational • Northern Rock - lessons learned • The extended enterprise - third parties / outsourcing • Scenario analysis, stress testing • Impact of the macro-economy • Issues raised by members Click here for event summary (pdf)
Sponsors - PricewaterhouseCoopers & Oracle

14th Jan 08	Retail - North	Manchester
TCF: Embedding into the Business
Chairman Rod Hepple-Wilson Director Mazars Radisson Hotel, Peter St	Discussion Topics • March deadline: project progress • MI - collection and analysis • Utilising MI in the business • Effecting a cultural change • TCF: post-sale • Measuring outcomes • Senior management buy-in • Issues raised by members Click here for event summary (pdf)
Sponsors - Mazars

14th Jan 08	Asset Management - MiFID	London
Asset Management - MiFID
Chairman Natasha Newbold Senior Manager Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Project progress • Transaction reporting • Outsourcing • Reporting to clients • Best execution monitoring • Advisory business • TCF • Issues raised by members Click here for event summary (pdf)
Sponsors - Ernst & Young

14th Jan 08	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Tim Rooke Partner Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Progress in Europe • MiFID MI • Inducements • Strategic review/ Creating competitive advantage • Defining advice • Relationship with the buy-side/ Finalising agreements • Issues raised by members Click here for event summary (pdf)
Sponsors - Ernst & Young

7th Jan 08	Asset Management	London
TCF: Embedding into the Business
Chairman Andrew Shiels Principal Advisor KPMG Tower 42, 25 Old Broad St	Discussion Topics • March deadline: project progress • MI - collection and analysis • Effecting a cultural change • Measuring outcomes • Senior management buy-in • Principles-based regulation and the FSA • Issues raised by members Click here for event summary (pdf)

10th Dec 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young The City Club, 19 Old Broad St	Discussion Topics • Non-EEA clients • Broker terms • Transaction reporting • Inducements • Best execution monitoring • Impact of MiFID • Issues raised by members Click here for event summary (pdf)

26th Nov 07	Complaints Handling	London
Complaints Handling
Chairman Paul Burwood Senior Manager Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • PPI • FOS Rulings • Staff Objectives and Incentives • Quality Checking • Customer Feedback • Issues raised by members Click here for event summary (pdf)

19th Nov 07	Operational Risk	London
Operational Risk
Chairman Richard Smith Partner, Risk Management PricewaterhouseCoopers Tower 42, 25 Old Broad St	Discussion Topics • Day-to-day best practice • Risk appetite • Embedding frameworks • Advanced measurement approach • Approved persons / SYSC • Issues raised by members Click here for event summary (pdf)

19th Nov 07	Compliance - Scotland	Edinburgh
Planning for 2008
Chairman Stuart Freebody Senior Consultant Huntswood Consulting Guest Contributor Jim Burns CTO Financial Services Microsoft UK Balmoral Hotel, Princes St	Discussion Topics • Industry Review 2007 • Retail Distribution Review • Meeting TCF Deadlines • Management Information • NEWCOB & MIFID • Challenges for 2008 • Issues raised by members Click here for event summary (pdf)

12th Nov 07	Retail - North	Leeds
Planning for 2008
Chairman Stuart Freebody Senior Consultant Huntswood Consulting Radisson Hotel, No 1, The Light	Discussion Topics • Industry Review 2007 • Retail Distribution Review • Meeting TCF Deadlines • Management Information • NEWCOB & MIFID • Challenges for 2008 • Issues raised by members Click here for event summary (pdf)

12th Nov 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Transaction reporting • Client money • Order execution policy • Exported PM/Trading to non-EEA jurisdictions • Broker Communications • Issues raised by members Click here for event summary (pdf)

12th Nov 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Tim Rooke Partner Ernst & Young Guest Contributor Chris Bates Partner Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • MiFID progress update • Non-UK developments • The perimeter of MiFID / Non-MiFID • Inducements • Broker communications • Issues raised by members Click here for event summary (pdf)

6th Nov 07	Mid-Tier Buy-Side - MiFID	London
Mid-Tier - MiFID
Chairman Rob Nieves Director, Business Risk Protiviti Tower 42, 25 Old Broad St	Discussion Topics • Principles based approach • Post implementation review • Client's experience of MiFID • Broker communications • Training • Transaction reporting updates • Issues raised by members Click here for event summary (pdf)

6th Nov 07	Mid-Tier Sell-Side - MiFID	London
Mid-Tier - MiFID
Chairman Rob Nieves Director, Business Risk Protiviti Tower 42, 25 Old Broad St	Discussion Topics • Principles based approach • Post implementation review • Client's experience of MiFID • Broker communications • Training • Transaction reporting updates • Issues raised by members Click here for event summary (pdf)

5th Nov 07	Asset Management	London
Planning for 2008
Chairman Scott Soper Senior Manager Grant Thornton Tower 42, 25 Old Broad St	Discussion Topics • Industry Review 2007 • Retail Distribution Review • Meeting TCF Deadlines • Management Information • NEWCOB & MIFID • Challenges for 2008 • Issues raised by members Click here for event summary (pdf)

22nd Oct 07	Complaints Handling	Manchester
Complaints Handling
Chairman Elliot Dunseath Regulatory Manager Ernst & Young Radisson Hotel, Peter St	Discussion Topics • Complaints handling SLAs • Complaints ownership • Proposed rule change • Training • Aggregating complaints information • Issues raised by members Click here for event summary (pdf)

15th Oct 07	Compliance - Scotland	Edinburgh
Principles-Based Regulation
Chairman Andrew Shiels Principle Adviser KPMG Balmoral Hotel, Princes St	Discussion Topics • Embedding Principles • Cultural Change • Senior Management Buy-in • Issues raised by members Click here for event summary (pdf)

8th Oct 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young Guest Contributor Rob Cain Senior Associate, Banking & Finance Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Fund Issues in IMA Letter • Progress on Best Execution • Broker Communications • Issues raised by members Click here for event summary (pdf)

8th Oct 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Matthew Oswald Partner Ernst & Young Guest Contributor Richard Withers Lawyer Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Project Progress • Non UK Regulatory Developments • How regulatory responses develop in 2008 • Issues raised by members Click here for event summary (pdf)

8th Oct 07	Retail - North	Manchester
Principles-Based Regulation
Chairman Rob Hayes Consultant Hayes Associates Midland Hotel, 16 Peter St	Discussion Topics • Embedding Principles • Cultural Change • Senior Management Buy-in • Issues raised by members Click here for event summary (pdf)

2nd Oct 07	Mid-Tier Buy-Side - MiFID	London
Mid-Tier Buy-Side - MiFID
Chairman Rob Nieves Consultant Protiviti Tower 42, 25 Old Broad St	Discussion Topics • Transaction reporting • European branches • Telephone recording • Suitability and appropriateness • Project progress • Post-MiFID impact • Issues raised by members Click here for event summary (pdf)

1st Oct 07	Asset Management	London
Principles-Based Regulation
Chairman Joe Chiaro Senior Consultant Beachcroft Guest Contributor Jim Burns CTO Financial Services Microsoft UK Tower 42, 25 Old Broad St	Discussion Topics • Embedding principles • Cultural change • Senior management buy-in • Issues raised by members Click here for event summary (pdf)

24th Sep 07	Complaints Handling	London
Complaints Handling
Chairman Paul Burwood Manager, Regulatory Risk Practice Ernst & Young Jenny Clayton Director, Regulatory Practice Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Incentive schemes • Training • Evidencing to the FSA and FOS • Complaints MI • Industry trends • Issues raised by members Click here for event summary (pdf)

17th Sep 07	Compliance - Scotland	Edinburgh
Complaints Handling Analysis and MI
Chairman Jenny Clayton Director FS Regulatory Practice Ernst & Young Balmoral Hotel, Princes St	Discussion Topics • How do firms retain consistency of analysis? • How can complaints MI be used to effectively raise the profile of complaints? • How can complaints data be used as customer feedback throughout the firm? • Issues raised by members Click here for event summary (pdf)

10th Sep 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Munib Ali Senior Manager Ernst & Young Guest Contributor Chris Bates Partner Clifford Chance LSE, 10 Paternoster Sq	Discussion Topics • Record keeping • Client reporting • Transaction reporting • Approved persons/passporting • European rules • Working with buy-side firms • Issues raised by members Click here for event summary (pdf)

10th Sep 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young Guest Contributor Rob Cain Senior Associate Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • FSA’s view of Nov 1st shortcomings • Cross border issues • Inducements • Best execution • Broker terms • Client consent • Issues raised by members Click here for event summary (pdf)

10th Sep 07	Retail - North	Leeds
Improving Financial Promotions
Chairman Ashley Carter Chief Executive, Regulatory Outsourcing Grant Thornton Radisson Hotel, No 1, The Light	Discussion Topics • Will a greater focus on principles-based regulation allow firms more or less scope and flexibility for marketing? • How do firms measure the average target group in order to closely tailor promotions and risk warnings to the intended consumer? • How can compliance data and MI be used to monitor the success of a campaign? • Issues raised by members Click here for event summary (pdf)

5th Sep 07	Mid-Tier Sell-Side - MiFID	London
Mid-Tier Sell-Side - MiFID
Chairman Bob Fuller CEO Equiduct Great Eastern, 40 Liverpool St	Discussion Topics • FSA enforcement • Record keeping • Outsourcing • Transaction reporting • Best execution • New execution venues • Investment research • Issues raised by members Click here for event summary (pdf)

4th Sep 07	Mid-Tier Buy-Side - MiFID	London
Mid-Tier Buy-Side - MiFID
Chairman Clare Vincent-Silk Consultant Investit Tower 42, 25 Old Broad St	Discussion Topics • Best execution • Client communications • Inducements • Suitability and appropriateness • Transaction reporting • Issues raised by members Click here for event summary (pdf)

3rd Sep 07	Asset Management	London
Improving Financial Promotions
Chairman Sarah Willison Consultant Guest Contributor Richard Lawes Senior Associate FSA Tower 42, 25 Old Broad St	Discussion Topics • Will a greater focus on principles-based regulation allow firms more or less scope and flexibility for marketing? • How can firms achieve a balance between key marketing messages and the associated risks? • How can compliance data and MI be used to monitor the success of a campaign? • Issues raised by members Click here for event summary (pdf)

13th Aug 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman Natasha Newbold Senior Manager Regulatory Practice Ernst & Young Guest Contributor Richard Withers Associate Clifford Chance Great Eastern, 40 Liverpool St	Discussion Topics • Repapering • Trade and transaction reporting • Client consent • Issues raised by members Click here for event summary (pdf)

13th Aug 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Tim Rooke Partner, Regulatory Practice Ernst & Young Munib Ali Senior Manager Ernst & Young Guest Contributor Chris Bates Partner Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Record keeping • Repapering • Training • Inducements • Issues raised by members Click here for event summary (pdf)

7th Aug 07	Mid-Tier Buy-Side - MiFID	London
Mid-Tier Buy-Side - MiFID
Chairman Alan Jenkins European Head of MiFID BearingPoint Tower 42, 25 Old Broad St	Discussion Topics • Best execution • Inducements • Risk disclosure • Issues raised by members Click here for event summary (pdf)

1st Aug 07	Mid-Tier Sell-Side - MiFID	London
Mid-Tier Sell-Side - MiFID
Chairman Alan Jenkins European Head of MiFID BearingPoint Tower 42, 25 Old Broad St	Discussion Topics • Progress on policies • Client classification • Staff training / senior management responsibility • Suitability and appropriateness • TCF • FSA enforcement • Issues raised by members Click here for event summary (pdf)

23rd Jul 07	Compliance - Scotland	Edinburgh
TCF: Overhead or Differentiator
Chairman Tim Kirk Managing Director The Kirk Consultancy Balmoral Hotel, Princes St	Discussion Topics • How can firms maximise compliance and customer service? • How can firms gather information from customers without being needlessly intrusive? • What are the key drivers for an overall customer experience? • What are the key internal touch points for changing culture to improve the customer experience? • Issues raised by members Click here for event summary (pdf)

9th Jul 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman John Neasham Senior Manager Ernst & Young Guest Contributor Tim Plews Partner Clifford Chance Richard Withers Associate Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Repapering • Best Execution/Prior Express Consent • Advice/Suitability • Post-MiFID landscape • Home / Host issues • Inducements • Issues raised by members Click here for event summary (pdf)

9th Jul 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman Natasha Newbold Senior Manager Regulatory practice Ernst & Young Guest Contributor Rob Cain Senior Associate Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Inducements • Conflicts policies • Suitability and appropriateness • Outsourcing • Non-EEA jurisdictions • Trade and transaction reporting • Issues raised by members Click here for event summary (pdf)

9th Jul 07	Retail - North	Manchester
Complaints Handling: Customer Feedback
Chairman Rod Hepple-Wilson Senior Manager, Business Recovery Mazars Radisson Hotel, Peter St	Discussion Topics • How can complaints data be used as customer feedback throughout the firm? • How can complaints teams get feedback from complainants without causing undue distress? • How do firms measure success? • What do customers consider important in the complaints process? • Issues raised by members Click here for event summary (pdf)

4th Jul 07	Mid-Tier Sell-Side - MiFID	London
Mid-Tier Sell-Side - MiFID
Chairman John Neasham Senior Manager Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Transaction reporting • Confirms • Conflicts • Outsourcing • Best Execution • COB • Issues raised by members Click here for event summary (pdf)

3rd Jul 07	Mid-Tier Buy-Side - MiFID	London
Mid-Tier Buy-Side - MiFID
Chairman Richard Thornton Associate Partner PA Consulting Great Eastern, 40 Liverpool St	Discussion Topics • Transaction reporting • Conflicts of interest • Outsourcing • Issues raised by members Click here for event summary (pdf)

2nd Jul 07	Asset Management	London
Complaints Handling: Customer Feedback
Chairman Ashley Carter Chief Executive, Regulatory Outsourcing Grant Thornton Tower 42, 25 Old Broad St	Discussion Topics • How can complaints data be used as customer feedback throughout the firm? • How can complaints teams get feedback from complainants without causing undue distress? • How do firms measure success? • What do customers consider important in the complaints process? • Issues raised by members Click here for event summary (pdf)

18th Jun 07	Compliance - Scotland	Edinburgh
Customer Communications: Launching New Products
Chairman Sarah Willison Consultant Balmoral Hotel, Princes St	Discussion Topics • Will a greater focus on principles-based regulation allow firms more or less scope and flexibility for marketing? • How do firms measure the average target group in order to closely tailor promotions and risk warnings to the intended consumer? • How can firms achieve a balance between key marketing messages and the associated risks? • How can compliance data and MI be used to monitor the success of a campaign? • Issues raised by members Click here for event summary (pdf)

11th Jun 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Tim Rooke Partner Ernst & Young Chris Bates Partner Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Confirms and statements • Inducements • Record keeping/telephone recording • Issues raised by members Click here for event summary (pdf)

11th Jun 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young Guest Contributor Rob Cain Senior Associate Clifford Chance Tower 42, 25 Old Broad St	Discussion Topics • Trade and transaction reporting • Securities trading • Definition of inducements • MiFID packs • Staff training • Issues raised by members Click here for event summary (pdf)

11th Jun 07	Retail - North	Leeds
Customer Communications: Launching New Products
Chairman Mark Cullen Principal Consultant Huntswood Consulting Radisson Hotel, No 1, The Light	Discussion Topics • How can time to market be improved without detriment to customers? • How can more complex and competitive products be simplified for the customer? • How can marketing help generate the tools for an improved customer experience? • Customer feedback: how can information from other areas of the firm be used to maintain an up-to-date picture of changes in customer requirements and behaviour? • Issues raised by members Click here for event summary (pdf)

4th Jun 07	Asset Management	London
Customer Communications: Launching New Products
Chairman Angus Milne Senior Adviser IMA Tower 42, 25 Old Broad St	Discussion Topics • How can time to market be improved without detriment to customers? • How can more complex and competitive products be simplified for the customer? • How can marketing help generate the tools for an improved customer experience? • Issues raised by members Click here for event summary (pdf)

4th Jun 07	Mid-Tier Buy-Side - MiFID	London
Mid-Tier - MiFID
Chairman Rob Nieves Director KPMG The City Club, 19 Old Broad St	Discussion Topics • Suitability and appropriateness • MiFID benefits • Stakeholder communications • Best execution • Monitoring • Issues raised by members Click here for event summary (pdf)

4th Jun 07	Mid-Tier Sell-Side - MiFID	London
Mid-Tier - MiFID
Chairman Rob Nieves Director KPMG The City Club, 19 Old Broad St	Discussion Topics • Suitability and appropriateness • MiFID benefits • Stakeholder communications • Best execution • Monitoring • Issues raised by members Click here for event summary (pdf)

21st May 07	Compliance - Scotland	Edinburgh
TCF: Overhead or Differentiator?
Chairman Rob Hayes Consultant Hayes Associates Balmoral Hotel, Princes St	Discussion Topics • How can firms ensure that marketing initiatives are compliant and retain impact and effectiveness? • How can firms communicate better with customers without compromising the ability to make strategic and commercial judgements? • How can firms measure return on investment from increased clarity of communications? • How do firms obtain customer feedback on the language, layout and information provided in product literature? • Issues raised by members Click here for event summary (pdf)

14th May 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman Natasha Newbold Senior Manager, Regulatory Practice Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • MiFID scope • Disclosure • Inducements • Client communications • Best execution • Classification • Trade confirmations • European agenda • Issues raised by members Click here for event summary (pdf)

14th May 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Tim Rooke Partner Ernst & Young Guest Contributor Chris Bates Partner Clifford Chance Ric Garvey Senior Manager, Technical Compliance Lloyds TSB Tower 42, 25 Old Broad St	Discussion Topics • Repapering • Stakeholder communications • Best execution • Transaction reporting • Issues raised by members Click here for event summary (pdf)

14th May 07	Retail - North	Manchester
TCF: Overhead or Differentiator?
Chairman Andrew Howgego Senior Manager KPMG Radisson Hotel, Peter St	Discussion Topics • How can firms maximise compliance and customer service? • How can firms gather information from customers without being needlessly intrusive? • What are the key drivers for an overall customer experience? • What are the key internal touch points for changing culture to improve the customer experience? • Issues raised by members Click here for event summary (pdf)

7th May 07	Asset Management	London
TCF: Overhead or Differentiator?
Chairman Sarah Herbert Consultant Winchester White Tower 42, 25 Old Broad St	Discussion Topics • How can firms maximise compliance and customer service? • How can firms gather information from customers without being needlessly intrusive? • What are the key drivers for an overall customer experience? • What are the key internal touch points for changing culture to improve the customer experience? • Issues raised by members Click here for event summary (pdf)

23rd Apr 07	Compliance - Scotland	Edinburgh
TCF: Managing the Provider / Distributor Relationship
Chairman Tim Kirk Managing Director The Kirk Consultancy Balmoral Hotel, Princes St	Discussion Topics • On what basis should due diligence be carried out on partners? • Is this necessary if the firm is FSA regulated? • Are commercial considerations appropriate under TCF? • How should the provider monitor sales to ensure that the right customers bought their products? • How can firms maintain consistency through complex distribution chains? • How much MI and commercial / sales information should partners share? • How can this be used most effectively? What criteria should be used to measure TCF performance? • Issues raised by members Click here for event summary (pdf)

9th Apr 07	Retail - North	Manchester
Complaints Handling: Analysis and MI
Chairman Mike Harrison Consultant Huntswood Consulting Radisson Hotel, Peter St	Discussion Topics • How do firms retain consistency of analysis? • How can complaints MI be used to effectively raise the profile of complaints? • Staff feedback: do team leaders look for anomalies? Are staff questioned on decisions or informed of improvements as a result of persistent complaints? • Defining best practice: how are firms measuring performance? • Issues raised by members Click here for event summary (pdf)

9th Apr 07	Investment Banking - MiFID	London
Investment Banking - MiFID
Chairman Tim Rooke Partner Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Passporting • Home/Host • Advice • Issues raised by members Click here for event summary (pdf)

9th Apr 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young Tower 42, 25 Old Broad St	Discussion Topics • Suitability and Appropriateness • Issues raised by members Click here for event summary (pdf)

12th Mar 07	Retail - North	Manchester
Fair Communications
Chairman Rob Hayes Consultant Hayes Associates Radisson Hotel, Peter St	Discussion Topics • How can firms ensure that marketing initiatives are compliant and retain impact and effectiveness? • How can firms communicate better with customers without compromising the ability to make strategic and commercial judgements? • How can firms measure return on investment from increased clarity of communications? • How do firms obtain customer feedback on the language, layout and information provided in product literature? • Issues raised by members Click here for event summary (pdf)

12th Mar 07	Asset Management - MiFID	London
Asset Management - MiFID
Chairman John Liver Partner Ernst & Young Guest Contributor Kate Turner Head of Risk and Compliance Newton Tower 42, 25 Old Broad St	Discussion Topics • Best execution • Inducements • Outsourcing • Issues raised by members Click here for event summary (pdf)

5th Mar 07	Asset Management	London
Fair Communications
Chairman Mervyn Taylor Senior Manager RSM Robson Rhodes Tower 42, 25 Old Broad St	Discussion Topics • TCF and fairness in customer communications • How to capture and measure customer feedback • How MiFID will change current practices and approaches • How marketing and compliance departments work together • Customer literature • Measuring the benefit of improved customer communications • Issues raised by members Click here for event summary (pdf)

12th Feb 07	Retail - North	Manchester
MiFID and NEWCOB: The Impact on Customer Relationships
Chairman Adrian Jackson Consultant PricewaterhouseCoopers Guest Contributor Steve Barclay, Director of Regulatory Affairs, UK Barclays Philip Buttifant Director of Wholesale BBA Radisson Hotel, Peter St	Discussion Topics • Principles-based regulation • Europe • MiFID and NEWCOB compliance • System changes • Issues raised by members Click here for event summary (pdf)

5th Feb 07	Asset Management	London
NEWCOB & MiFID: The Impact on Customer Relationships
Chairman Graham O’Connell Director, Advisory Financial Services PricewaterhouseCoopers Tower 42, 25 Old Broad St	Discussion Topics • Projects • Client relationships • Suitability • Inducements / Trail Commissions • Conflicts • Outsourcing • Issues raised by members Click here for event summary (pdf)

15th Jan 07	Retail - North	Manchester
TCF: Managing the Provider / Distributor relationship
Chairman Paul Jennings Senior Manager Regulatory Practice Ernst & Young Radisson Hotel, Peter St	Discussion Topics • Auditing distributors • Defining and Maintaining Relationships • White labelling • Management Information • Impact of TCF • Issues raised by members Click here for event summary (pdf)

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