Track D1 Workshop: Teams & Culture - Building an effective compliance approach for a compliant organisation

Building an effective compliance approach for a compliant organisation

Chatham House Rules, pre-registration required.

Part A (45min):

Building an effective compliance capability

Short introduction followed by table based discussion focused on good practice:

• Building an effective compliance team
• Defining & developing skills and expertise
• The dangers, opportunities and practicalities of technology
• Asking for more resource

Facilitator: Luciane Mallmann, Head of Ethics & Compliance – MLRO

Part B (45min):

Building an effective compliance culture

Short introduction followed by table based discussion focused on good practice:

• Compliance as a leadership function?
• "Compliance" or something else?
• Rules or values - and how?
• Engaging the board and senior leadership

Facilitator: Tim Tyler, Vice President, ICA