Compliance Management Day

Transcription

1 Compliance Management Day Zurich, Thursday, 22 October 2015

2 6th Annual Compliance Management Day Managing and Leading a Compliance Function in Today s Changing Environment As is the case for risk management functions, the expectations for compliance functions continue to grow. Not just regulators but Boards of Directors across industries are looking increasingly for the company to have an effective compliance function as part of the company s overall governance and internal controls framework. As these expectations grow, so too grows the need for ensuring that the compliance function is properly positioned, authorized, resourced, and managed. The seminar builds on our earlier seminars. It allows for deeper focus on the unique challenges that arise, regardless of industry, in a) operating a compliance function, b) finding strategies to tackle thorny compliance risk areas, and c) working to embed compliance in the culture of the company. At the same time through industry roundtable discussions the seminar will also enable participants to look at issues and raise questions specific to the business of their company. The seminar will be of benefit to companies having already an advanced compliance function as well as those still in early stages or which are now contemplating creating one. Cooperation partners:

3 PROGRAMME Thursday 22 October 2015 Haus zum Rüden, Zurich 08:30 09:00 Registration, networking coffee 09:00 09:40 Introduction International compliance developments relevant for all industries. Conduct risk, a passing fad or a meaningful concept? How to identify the next areas of potential misconduct? Introduction of case study. 09:40 10:45 What are the role and limits of headquarters in promoting corporate culture and compliance? There has been increasing pressure on companies to manage their enterprise-wide risks and take measures to foster the right corporate culture throughout the company. What should be the role of the parent company or the center in doing this and in mitigating subsidiary risk? What strategies and tools are helpful? What to do when facing local push-back and other limits? Anke D Angelo and Erika Wikman Followed by discussion, including comparative experience from senior compliance officers from other industries. 10:45 11:00 Coffee break 11:00 11:45 Beyond a policy: how to really manage conflicts of interest. Many compliance conflicts of interest approaches stop at a policy and self-declarations. But is this sufficient in today s environment? Presentation of an innovative company-wide initiative designed to pro-actively manage conflicts of interest as an essential buildingblock of a compliance programme. Marc Leu 11:45 12:30 General compliance lessons from the U.S-Swiss tax saga. The highly technical nature of tax tends to create the impression that it is an area that bears few lessons for general compliance. Yet the U.S.-Swiss tax disputes are replete with implications for all industries on how and how not to approach a major compliance challenge. Françoise Birhnholz

4 12:30 14:00 Interactive networking lunch Discussion tables based on industries (pharma, manufacturing, insurance, banking and others depending on interest). 14:00 15:00 The board and compliance: An easy or a complex relationship? A prominent former board chairman and leading governance figure will address this question and comment on evolving trends, including regarding the nature of board responsibility for compliance. Peter Forstmoser 15:00 15:15 Coffee break 15:15 16:45 Case Study: Identifying the next big compliance risk. A hands-on case study tackling the criticism that much of compliance is back-ward looking. How can a compliance function be ready, not for yesterday s, but for tomorrow s big compliance risk? Audience and all speakers. Group presentations. 16:45 17:30 Putting all together What lessons from the topics discussed today? Results of the Annual Compliance Management Day Compliance Survey. What trends do they show? How can they help compliance functions anticipate and prepare for future challenges?

5 Faculty Administration Françoise Birhnholz Head Legal, Global Private Banking Special Projects, Legal GPB, HSBC Private Bank Anke D Angelo Chief Compliance Officer, Swiss Re Peter Forstmoser Member of the Board of PSP Swiss Property, Mikron Technology Group and Hesta AG, former Board Chairman of Swiss Re Marc Leu Head of Compliance Risk Management and Planning, Philip Morris International Head of Programme CAS Compliance Management (CM-HSG) at the University of St. Gallen, Senior Partner at HCM International Erika Wikman Chief Ethics and Compliance Officer, Volvo Cars Chairman Organisation / Information Rahel Germann (Programme Manager) Executive School of Management, Technology and Law (ES-HSG) of the University of St. Gallen Phone: +41 (0) rahel.germann@unisg.ch Location Haus zum Rüden Limmatquai 42, CH-8001 Zürich Phone +41 (0) Conference Fee The conference fee per person is CHF Included in this price are papers, lunch and refreshments. The conference fee is payable upon receipt of the registration confirmation by invoice. Members of association partners receive a discount of CHF upon registration. Registration Please send your registration form by 2 October 2015 to Executive School (ES-HSG), Holzstrasse 15, CH-9010 St. Gallen. The number of participants is restricted; participants will be accepted on a first come, first served basis. Deadline for Registration / Cancellation The registration period runs until 2 October Cancellations received before 2 October 2015 will be subject to a fee of CHF 100.-, after 2 October 2015 the full conference fee will be due. Do you know our other executive education relevant for compliance management? The compact, 15-day Compliance Management (CM-HSG) executive education course covers relevant issues in compliance law and all aspects of compliance management. More information:

6 Registration Compliance Management Day Thursday, 22 October 2015 Haus zum Rüden, Zurich UNI Last name / First name Title / Position Company Street Postcode / City / Country Phone I am a member of the association partner and thus eligible for a discount: ACC SACO I hereby confirm my registration: Date / City Signature Please send your registration before 2 October 2015 by mail, or fax to: University of St. Gallen Executive School of Management, Phone +41 (0) Technology and Law (ES-HSG) Fax +41 (0) Holzstrasse 15 rahel.germann@unisg.ch CH-9010 St. Gallen