COMPLIANCE MANAGEMENT DAY THURSDAY, 23 OCTOBER 2014, ZURICH cooperation partners:

COMPLIANCE MANAGEMENT DAY
THURSDAY, 23 OCTOBER 2014, ZURICH
cooperation partners:
5TH 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.
Join us and help us celebrate the 5th year anniversary of this special program.
PROGRAM
Thursday 23 October 2014
Marriott Hotel, Zurich
08:30 – 09:00 Registration, Networking Coffee
09:00 – 09:30 Introduction
Gabe Shawn Varges
International Compliance Developments.
09:30 – 10:30 Reorganize or Reinvent the Mature
Compliance Function?
Eoin O’Shea
As with key functions within a company, a Compliance
Function has to periodically review itself and determine:
“Do we need mere adjustment or more fundamental
transformation or renewal?”
Followed by discussion, including comparative
experience from another industry, Marc Leu
10:30 – 10:50 Coffee Break
10:50 – 11:40 The “Control” or the “Ethical” environment?
Nancy Higgins
Risk and compliance models often refer to the importance of having the right “control environment”. Is this
a complete approach? Are there companies that look
beyond controls and also systematically work to advance
and measure their “ethical environment”? And how does
this relate to current growing interest in “corporate
culture?”.
Followed by discussion, including comparative
experience at other companies.
11:40 – 12:30 Taming the Cyber Risk Monster
A head of IT will discuss how companies today are
determining and tackling the whole spectrum of risks
emanating from the digital age. Is there a role for the
Compliance Officer?
Markus Nordlin
12:30 – 14:00 Interactive Networking Lunch
Discussion tables based on industries, including
banking, insurance, pharmaceutical, industrials.
14:00 – 15:00 How best to help the BoD?
Frank Schnewlin
A prominent Board of Directors member will discuss
the question: “How can the Compliance Officer best
assist the Board of Directors in carrying out its
responsibilities?”
15:00 – 15:20 Coffee Break
15:20 – 16:50 Case Study: Compliance Innovation Lab
Audience and all speakers
A hands-on session for jointly inventing solutions.
16:50 – 17:30 Putting all together
Open discussion. 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
prepare for the future?
Gabe Shawn Varges
FACULTY
ADMINISTRATION
Nancy Higgins
Chief Ethics and Compliance Officer,
Bechtel Group
Chairman
Gabe Shawn Varges
Marc Leu
Head of Compliance Risk Management,
Philip Morris International
Markus Nordlin
Chief Information Technology Officer,
Zurich Insurance Group
Eoin O’Shea
Chief Central Compliance Officer,
Credit Suisse
Frank Schnewlin
Vice-Chairman of the Board of Directors,
Swiss Life and former CEO Bâloise Insurance
Gabe Shawn Varges
FINMA
Organisation / Information
Rahel Germann (Program Manager)
Executive School of Management,
Technology and Law (ES-HSG)
of the University of St. Gallen
Phone: +41 (0)71 224 75 18
Email: [email protected]
www.lam.unisg.ch/tagungen
Location
The conference takes place in Zurich:
Marriott Hotel
Neumuehlequai 42, CH-8006 Zürich
Phone +41 (0)44 360 70 70
www.zurichmarriott.ch
Conference Fee
The conference fee per person is CHF 890.-.
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 100.- upon registration.
Registration
Please send your registration form by
3 October 2014 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 3 October
2014. Cancellations received before 3 October
2014 will be subject to a fee of CHF 100.-, after
3 October 2014 the full conference fee will be
due.
06.2014
UNI1505
www.hellblau.com
REGISTRATION
Compliance Management Day
Thursday, 23 October 2014
Marriott Hotel, Zurich
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Signature
Please send your registration before 3 October 2014
by mail, email or fax to:
University of St. Gallen
Executive School of Management,
Technology and Law (ES-HSG)
Holzstrasse 15
CH-9010 St. Gallen
Phone +41 (0)71 224 75 18
Fax +41 (0)71 224 75 10
E-Mail [email protected]
www.lam.unisg.ch/tagungen
ACC
SACO