The Buy-Side Risk and Control Summit is designed for risk and control practitioners in the 1st & 2nd lines of defence and other professionals affected by SMCR and evolving conduct risk expectations.


Topics include:


  • Expectations from the Regulator (Keynote address from Nick Miller, Head of Asset Management Supervision, Financial Conduct Authority)

  • Evidencing Individual Accountability

  • Governance and Control Frameworks: Improving Efficiency across the 3LoD

  • Conduct Risk: Controls vs. Culture

  • Communications & Trade Surveillance

  • Managing Risk in an Outsourced Model


Scroll down to download the full agenda and confirmed speaker list.


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Nick Miller 

Head of Asset Management Supervision, 

Financial Conduct Authority

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General Sir Peter Wall GCB CBE ADC Gen 

Co-Founder and Chief Executive Officer, Amicus 

and Former Head of the British Army

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Nick Leeson,

‘The Original Rogue Trader’, Former Barings Trader

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Terri Duhon, 

Chair of the Board, 

Morgan Stanley Investment Management EMEA

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David Hagan

Head of 1st Line Risk, Control & Assurance


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Russell Hornsby-Clifton

Head of UK Compliance,

EFG Private Bank

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Summit Agenda

To view the draft agenda for summit, featuring all sessions, roundtables and more, please fill in the form below. If you have any issues please do not hesitate to contact us. 


“Congratulations on another excellent conference. Your work is making a really big contribution to the industry”   


Darren Jarvis, Managing Director, Global Head of Business Controls and Supervision, Markets Division, Citigroup

Exclusive Sponsor Content

Below you can access exclusive content from our sponsors. Content includes: 

  • Deloitte: Assessing the value that investment funds deliver to investors

  • Deloitte: Conduct Risk MI in an era of supervisory scrutiny

  • Soteria: Case Study - Futureproofing Compliance, E-Surveillance & Operational Efficiency for Helm Godfrey

  • Soteria: The journey of compliance and surveillance: The unrealistic 'utopia' and the tangible 'art-of-the-possible'

  • Soteria: Regulatory Compliance – The ‘Fire Alarm’ Test for Financial Services

  • ACA Compliance Group: Six ways to stay ahead of the regulators with RegTech

  • ACA Compliance Group: How RegTech increases efficiency and reduces risk

  • Fonetic: Ramping up compliance tools for the buy-side

  • Fonetic: SMR compliance - the role of communications technology

  • Nasdaq: Top compliance trends

  • NICE Actimize: Markets Surveillance Buying Guide

  • NICE Actimize: Next Generation eComms Surveillance Buying Guide

  • Promontory: Asset management regulatory considerations

  • Promontory: Vantage Point: Operational resilience 

  • Promontory: Vantage Point: IBOR conduct risk

  • Red Deer: Market Insight - A holistic approach to market, trade and e-communications surveillance

  • Red Deer: Simplifying surveillance webinar

  • SteelEye: How can RegTech meet the challenges of increased trader surveillance

  • SteelEye: Dealing with a data subject access request

  • Worksmart: SM&CR project planner

  • Worksmart: Finance Monthly - interview with Worksmart's Julie Pardy


Lead Sponsors



Register Now

Online registration for the summit is now closed. If you would like to register, please contact us.

If you wish to book multiple delegate places or receive information about the marketing opportunities available please contact as there are special deals available.

Delegate Package Includes

  • Access to all the main speaker sessions

  • Opportunity to actively participate in small break out discussion groups NB you choose which discussions you wish to join prior to the event

  • All breakfast, lunch and refreshment breaks

  • The 1LoD Drinks Reception

  • Opportunity to pose questions directly to speakers (even before the conference!)

  • Access to the 1LoD App which includes an intra-delegate messaging system

  • Opportunity to participate in live industry polls and receive the results after the conference in a post event report

  • Digital content in the period before the event



Intelligence for Risk and Control Professionals


51 Eastcheap

London,  EC3M 1JP

United Kingdom

Tel: +44 (0) 2071124930

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