When:
May 25, 2017 @ 9:00 am – 12:00 pm
2017-05-25T09:00:00+01:00
2017-05-25T12:00:00+01:00
Where:
Hilton Charlemont
Charlemont Pl
Saint Kevin's, Dublin
Ireland
Cost:
50.00
Contact:
Caroline Hollick-Ward
01 7790200

The ACOI are pleased to welcome members to part 3 of 6 of the Building Blocks for Effective Compliance series for 2017. This workshop will consider the topic of Culture & Conduct.

Firms’ culture is now a major issue for the Central Bank of Ireland (CBI). As noted by Ed Sibley, Director of Banking Supervision at the CBI:

“The culture within an institution is a key factor in determining its safety and soundness, as it is key to the effectiveness of its governance arrangements.”

The evidential standards demanded by the CBI, customers, your Board of Directors and other stakeholders are now far higher than previously expected. A positive culture that embeds a risk based approach can facilitate the right conduct in a firm.

In this workshop Ciaran Walker, Consultant with Eversheds Sutherland and former deputy Head of Enforcement with the CBI will discuss the approach supervisors are adopting in the monitoring and measuring of a firms’ culture. Ciaran will be joined by a compliance practitioner who will consider this from a regulated entity perspective on how they meet these expectations.

Other topics that will be covered in this popular workshop series include Compliance Planning & Monitoring, Upstream Regulatory Risk Reporting and the Role of the Compliance Officer. Regulatory Priorities and Risk Assessment have been considered in earlier workshops.

Originally the Building Blocks series was aimed for those new to the compliance profession, those newly qualified from the PDC programme, and those who are looking to move into the area of compliance as a career. While this aim remains the focus, increasingly attendees are seasoned compliance practitioners attending the workshops to refresh their knowledge and keep abreast of the current thinking in the topic.

 

Title: Building Blocks for Effective Compliance – Culture & Conduct
Date: Thursday, 25th May 2017
Speaker: Ciaran Walker, Consultant, Eversheds Sutherland
& Eavan Garvey, Head of Group Conduct Risk, Group Compliance & Regulatory Risk, Bank of Ireland
Venue: Hilton Charlemont, Charlemont Place, Dublin 2
Time: 9.00 am – 12.00 pm (Registration 8.30 am)
CPD: 3 Hrs LCOI, FCOI (Compliance), QFA, CPD Member, RS CPD Member, Professional Banker, Chartered Banker, Certified Bank Director, Certified Investment Fund Director, Personal Insolvency Practitioner
2 Hrs FCOI (Ethics), CFCPP, CDPO
Fee: €50.00 (Members) €75.00 (Non-members)

 

Topics discussed in this workshop will include:

  • Culture and conduct risk– what do these mean?
  • How to identify a positive culture and the benefits associated with cultivating a positive culture.
  • How is culture being measured? Some ideas on how to assess it?
  • Meeting expectations of the regulator and other stakeholders in an ethical manner.

 


Ciaran Walker, Consultant, Eversheds Sutherland

Ciaran is an ACOI member and Consultant in Eversheds Sutherland Consulting, having joined in October 2016.

Ciaran specialises in regulatory consulting, in particular in the financial services sector. Prior to joining Eversheds he was Deputy Head of Enforcement with the Central Bank of Ireland.

His recent experience in that role includes:

  • Leading a number of ground-breaking enforcement investigations and cases resulting in the imposition of sanctions on firms and individuals;
  • Managing the Central Bank’s Enforcement team dealing with investigations of the fitness and probity of individuals;
  • Leading the Central Bank Enforcement Division’s engagements with enforcement colleagues in the ECB and other European regulators on enforcement – related cases and legal and policy issues under the EU Single Supervisory Mechanism regime.

Ciaran has considerable experience of regulatory issues across a number of regulated industries internationally, both in-house and in private practice, having practised in Brussels, London and Dublin. He also has a wealth of experience of EU law, having practised in this area for over 20 years and having pleaded cases (including a major cartel case) before the European Court.

Ciaran regularly provides training, lectures and conference speeches on regulatory matters.

 

Eavan Garvey, Head of Group Conduct Risk, Group Compliance & Regulatory Risk, Bank of Ireland

Eavan is the Head of Group Conduct Risk in Bank of Ireland, having joined Bank of Ireland in 2016. Prior to June 2016, Eavan spent just over 10 years working in Compliance  and Regulatory Roles in Ulster Bank Group; with Eavan’s most recent role as Head of Policy and Advice in the Ulster Bank ROI Conduct and Regulatory Affairs team. Of particular note, is Eavan’s considerable experience developing, managing and implementing Conduct Risk Frameworks across a wide variety of businesses.
Over the last year, Eavan has been lecturing on Conduct Risk as part of the Institute of Banking Professional Certificate in Conduct Risk, Culture & Operational Risk. Eavan has a Law Degree and Bachelor of Arts from National University of Ireland Galway, Eavan is also a Qualified Financial Advisor.”