ASIC ANNUAL FORUM 2015
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1 ASIC ANNUAL FORUM & 24 March 2015 Hilton Sydney, Australia Creating confidence to grow The 20 th ASIC Annual Forum will explore how regulation provides the framework for a resilient and dynamic financial system that fosters growth in the real economy and benefits all Australians. Over two days, the Forum will discuss the balance between growth and stability, challenge the assumption that regulation inhibits innovation and ask how we can boost consumer trust and confidence, and therefore participation, in our financial system. Program (as at 28 January 2015 subject to change) 1
2 MONDAY 23 MARCH 2015 Day 1 Regulating for growth 8.50 am 9.20 am Opening and welcome address Greg Medcraft, Chairman, ASIC 9.20 am am Plenary session 1: Growth and stability choice or challenge? Keynote address: Sir Paul Tucker, Senior Fellow, Harvard Kennedy School Is there a trade-off between allowing markets to operate unencumbered to support growth, and achieving stability and consumer protection? How important is investor trust and confidence to allowing markets to perform their fundamental purpose of funding the real economy, which, in turn, supports economic growth? What role does regulation play in creating the framework for markets to operate efficiently and what does good regulation look like? Moderator: Cathie Armour, Commissioner, ASIC am am Morning break Dr John Laker AO, Former Chairman, APRA Michael R P Smith, Chief Executive Officer, ANZ Banking Group Catherine Livingstone, President, Business Council of Australia am pm Plenary session 2: Creating confidence the international dimension Keynote address: Vikram S. Pandit, Chairman, TGG Group A core challenge for regulators and participants is increasingly interconnected global financial markets. How can regulators and product and service providers cooperate to inspire trust and confidence in rapidly globalising markets? Moderator: Greg Medcraft, Chairman, ASIC and IOSCO Board Chair pm 1.15 pm Lunch Graham Hodges, Deputy CEO, ANZ Banking Group Marcus Robinson, Head of SwapClear Australia, LCH Clearnet 2
3 1.15 pm 2.00 pm Meet the Commission Moderated panel discussion ASIC s Commissioners will outline the priorities for the year ahead, along with taking questions from the floor. Moderator: Ticky Fullerton, Journalist and Presenter, ABC, The Business Greg Medcraft, Chairman Peter Kell, Deputy Chairman Cathie Armour, Commissioner John Price, Commissioner Greg Tanzer, Commissioner 2.00 pm 3.30 pm Plenary session 3: Digital disruption and the future of the financial sector Keynote address: Paul Schulte, Director, Schulte-Research Digital disruption is changing the way businesses operate. What are the opportunities and challenges that come with digital disruption, and what impact will it have for financial products and services? What does it mean for regulation? Moderator: Greg Tanzer, Commissioner, ASIC Matt Symons, Co-founder and Chief Executive Officer, SocietyOne Jacob Hook, Partner, Oliver Wyman 3.30 pm 4.00 pm Afternoon break 4.00 pm 5.30 pm Concurrent sessions 1, 2 & 3 1. Laying the foundations funding infrastructure in Australia It is estimated that Australia currently has an infrastructure funding gap of at least $300 billion. How do we develop the right financing instruments to encourage private investment in infrastructure assets? How else can our financial system support Australia's growing infrastructure needs? Moderator and presenter: Mark Burrows AO, Managing Director & Vice Chairman, Global Investment Banking, Credit Suisse Rosemary Vilgan, Chief Executive Officer, QSuper Frank Kwok, Head of Australia and South East Asia, Macquarie Infrastructure and Real Assets 3
4 2. Going public making the transition Public listing is the aim of many businesses. This session will explore the benefits and challenges of listing, consider trends such as backdoor listing and discuss how companies can successfully promote investor confidence in making the transition from private to public. Moderator: Kate O'Rourke, Senior Executive Leader, Corporations, ASIC Melinda Conrad, Non-Executive Director, OzForex Group Kevin Lewis, Chief Compliance Officer, ASX Compliance Philippa Stone, Partner, Herbert Smith Freehills 3. Vertically integrated business models the right consumer outcomes? Vertically integrated business models have become more common in the financial industry. How legitimate are the concerns around vertical integration? How do we address the potential conflicts that may arise under such models, whilst still allowing businesses to grow? Moderator and presenter: Greg Chipman, Executive Director Financial Services, EY Tony Gill, Chairman, Australian Finance Group Claire Mackay, Director, Quantum Financial Geoff Lloyd, Managing Director and Chief Executive Officer, Perpetual Limited 4
5 ASIC ANNUAL DINNER Can the financial industry regulate itself? 5.30 pm 6.30 pm Pre-dinner drinks 6.30 pm pm Dinner with keynote address and panel discussion Welcome: Greg Medcraft, Chairman ASIC Keynote speaker/moderator: Alex Malley, Chief Executive, CPA Australia What does good co-regulation look like? What are the incentives for the financial sector to effectively regulate itself? How do we strike the balance between regulatory oversight and protecting consumers? Should industry bodies be expected to manage multiple roles such as co-regulation and advocacy? Elmer Funke Kupper, Managing Director and Chief Executive Officer, ASX Limited Dimity Kingsford Smith, Professor of Law, University of NSW Shane Tregillis, Chief Ombudsman, Financial Ombudsman Service 5
6 TUESDAY 24 MARCH 2015 Day 2 Boosting investor confidence 8.30 am 9.50 am Plenary session 4: A financial system for an ageing population Keynote address: John Piggott, Australian Professorial Fellow and UNSW Scientia Professor; Director, ARC Centre of Excellence in Population Ageing Research Australia is facing a rapidly ageing population. How does the financial system need to adapt to this changing landscape? How can we ensure that Australians can be confident that they will be supported in the long term? What products are required to fund our retirement needs? Moderator: Peter Kell, Deputy Chair, ASIC John Lonsdale, Head of Secretariat, Financial System Inquiry Brian Wilson, Chair, Foreign Investment Review Board Jenni Mack, Chair, Job Futures 9.50 am am Morning break am am Concurrent sessions 4, 5 & 6 4. Restoring the integrity of wholesale markets Global scandals such as LIBOR and forex manipulation, mis-selling of CDOs and rogue trader incidents have eroded confidence in wholesale markets. This has, in turn, flowed onto retail markets. How can we drive appropriate conduct to restore confidence in the sector, and what role does industry play? Moderator and presenter: Stephen Roberts, Chair, Australian Financial Markets Association Alison Barker, Head of Department - Infrastructure & Trading Firms, Supervision Division, UK Financial Conduct Authority Karen Phin, Non-executive Director, Magellan Financial Group Drew Bradford, Executive General Manager, Fixed Income, Currencies & Commodities, National Australia Bank 5. Empowering consumers What role does financial literacy play in ensuring consumers make optimal financial decisions? How can improving financial literacy contribute to better outcomes for businesses, regulators as well as consumers? Moderator: Miles Larbey, Senior Executive Leader, Financial Literacy, ASIC Jane Nash, Head of Corporate Sustainability & Financial Inclusion, ANZ Banking Group Professor Roslyn Russell, School of Economics, Finance and Marketing, RMIT University Christopher Zinn, Campaigns & Communications Director, Adviser Ratings 6
7 6. Remuneration incentivising without the hazard It has been argued that remuneration structures have been a major driver of the poor behaviours seen in the financial industry. How do we address the tension between incentivising employees and ensuring that customers interests are put first? Moderator: Joanna Bird/Louise Macaulay, Senior Executive Leader, Financial Advisers, ASIC am 1.00 pm Lunch Air Commodore Robert M C Brown AM, Chairman, ADF Financial Services Consumer Council Jim Minto, Group CEO & Managing Director, TAL Simon Swanson, Managing Director, ClearView Sally Loane, Chief Executive Officer, Financial Services Council Distinguished guest speaker 1.00 pm 2.30 pm Concurrent sessions 7, 8 & 9 7. ASIC v The Cash Store what does it mean for the credit industry? The first court decision on the responsible lending obligations was handed down in August What are the implications for lenders and intermediaries? Have lenders and brokers changed their processes? Moderator and presenter: TBC Thomas Beregi, Chief Executive Officer, Credit Corp Group Philip Field, Lead Ombudsman - Banking & Finance, Financial Ombudsman Service 8. Is litigation the answer? Negotiated outcomes, such as enforceable undertakings (EUs) can offer a more efficient regulatory outcome than administrative or civil action. However, they have also been criticised for their lack of transparency and lighter penalties. How fair are these criticisms? Should EUs always be pursued prior to engaging in litigation? Moderator and presenter: Suzanne Le Mire, Senior Lecturer, Adelaide Law School, University of Adelaide Bob Baxt AO, Emeritus Partner, Herbert Smith Freehills David Cohen, Group Executive & Group General Counsel, Commonwealth Bank 7
8 9. Seller beware? What responsibility do advisors have when selling products and how far should regulation go in protecting consumers? Do we need to introduce suitability requirements for financial products, or should the regulator have broader powers of intervention if a market segment is generating very bad consumer outcomes? Moderator and presenter: Katherine Forrest, Partner, King & Wood Mallesons 2.30 pm 2.50 pm Afternoon break Kate Olgers, General Counsel, Banking, Products & Markets, National Australia Bank Dimity Kingsford Smith, Professor of Law, University of NSW 2.50 pm 3.50 pm In depth: What is the role of trust in the financial industry? As the financial industry has recently seen trust takes time to build, but can be quickly lost. What do industry and regulators need to do to rebuild trust in the financial sector, and how can we work together to achieve this? In-depth moderated discussion Moderator: Ticky Fullerton, Journalist and Presenter, ABC, The Business 3.50 pm 5.10 pm Plenary session 5: The post-murray Financial System David Murray, Chair, Financial System Inquiry Financial System Inquiry insiders and key regulators will discuss progress towards an efficient, resilient and fair financial system that facilitates economic growth and meets the financial needs of all Australians. Greg Medcraft, Chairman, ASIC Kevin Davis, Professor of Finance, University of Melbourne; Research Director, Australian Centre for Financial Studies; Professor, Monash University Malcolm Edey, Assistant Governor, Financial System, Reserve Bank of Australia 5.10 pm 5.30 pm Closing remarks Greg Medcraft, Chairman, ASIC 8
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