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 Last name / First name Title / Position Company Street Postcode / City / Country Phone Email I am a member of the association partner and thus eligible for a discount: I hereby confirm my registration: Date / City 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