Internal Protection Strategies: Cultural Change and Conduct Risk Management Performance

November 25, 2015 10:30am

David Marshall
Head of Compliance
NIBC N.V. London Branch

Stephanie Manson
Chief Underwriting Officer

Richard Ferris
Chief Counsel
Aon Risk EMEA

Haydn Main
Head of Legal
Renaissance Capital


Craig Earnshaw
Senior Managing Director
FTI Consulting

  • How to prevent a corporate culture being dominated by “a few bad apples”: measures to make traders become the first line of defence against possible breaches in regulatory compliance
  • Formulating a response strategy: reporting on suspected irregularities and cooperating with the authorities
  • Mitigating legal and compliance risks at a strategic and operational level with the view to preventing similar misdealing in the future
  • What provisions should FIs be making for litigation and contingent liabilities? Factoring how legal fees are being structured into law firm selection and evaluation
  • Legal project management of financial and banking disputes and investigations: tools for optimising costs and increasing efficiency
  • How to successfully transform business process to take control of repetitive production of documents. Handling large volumes of information and data
  • What skills and expertise do in-house counsel and private practice lawyers need to have to navigate through the eDiscovery and case review stages?