XLoD 2021 Agenda

XLoD 

The Future of Non-Financial Risk & Control across the 3 Lines of Defence

15 Nov 2022: Virtual Day      
16 - 17 Nov 2022: In-person Day, etc.venues, 133 Houndsditch, London

Welcome to the XLoD Global 2021 interactive agenda.  Please use the filter button to change the visibility of topics and types of features that were on offer each day.  To return to the full agenda, showing all streams please remove filters using the ‘x’ button.

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11:00
  1. 1:1 Meeting
    60 mins
    • Networking
    Please contact  Layla Baskott if you would like to schedule an introductory meeting with any or all of the consultants or vendors.  Click here for a list of the sponsoring consultants or vendors. 
13:15
  1. Break
    10 mins
13:25
  1. Keynote
    10 mins
    • Audit
  2. Keynote
    10 mins
    • Emerging Risks
  3. Debate
    70 mins
    • Resilience Risk
    How does Resilience build on the principles of BCP? Do budget holders in the business understand and support the need for resilience planning? How do the silos within banks limit their resilience capa ...
  4. Keynote
    10 mins
    • 1st Line Control
    Each of the individual streams will be opened by a senior practitioner, regulator or expert. 
  5. Keynote
    10 mins
    Each of the individual streams will be opened by a senior practitioner, regulator or expert. 
13:35
  1. Debate
    60 mins
    • Audit
    How can Internal Audit functions measure the formal and informal drivers of culture? What are the key metrics which can be used to measure cultural change? What is best practice when auditing culture? ...
  2. Debate
    60 mins
    • Emerging Risks
    Incorporating ESG metrics within the risk appetite framework  Embedding ESG ambitions and goals into strategic planning Identifying and quantifying ESG risks
  3. Keynote
    10 mins
    • Surveillance
    Each of the individual streams will be opened by a senior practitioner, regulator or expert. 
  4. Keynote
    10 mins
    • 1st Line Control
    Each of the individual streams will be opened by a senior practitioner, regulator or expert. 
13:45
  1. Debate
    50 mins
    • 1st Line Control
    How have the events of 2020 & 2021 changed the mandate of 1st line control functions? Is more industry standardisation expected for 1st line control functions as is the case for Compliance and Interna ...
  2. Debate
    50 mins
    • Surveillance
    What are the greatest opportunities for risk and control functions across the enterprise to work more effectively together? As a senior leader in a risk and control function, how much do you drive col ...
14:35
  1. Break
    10 mins
14:45
  1. Interactive Roundtable
    40 mins
    • 1st Line Control
    • Networking
    • Delegation of Supervisory Controls
    • The Role of Behavioural Science
  2. Interactive Roundtable
    40 mins
    • Surveillance
    • Networking
    • Global Surveillance Regulation

    • Initiating an Effective Surveillance Function

  3. Interactive Roundtable
    40 mins
    • Emerging Risks
    • Networking
    • Building an Integrated Approach to ESG Risk Monitoring and Framework

  4. Interactive Roundtable
    40 mins
    • Resilience Risk
    • Networking
    • Understanding Global Regulatory Expectations
  5. Interactive Roundtable
    40 mins
    • Audit
    • Networking
    • Measuring and Influencing Culture Across the 3LOD

    • Retaining Technical Competencies Within Audit

15:25
  1. Break
    10 mins
15:35
  1. Debate
    50 mins
    • 1st Line Control
    Can supervision be effective remotely? How much face-to-face contact is expected of supervisors and their teams? How are supervisors managing the risks of unmonitored communications whilst employees a ...
  2. Debate
    50 mins
    • Audit
    What is the value in adapting to an Agile Internal Auditing when applied appropriately? What are the key challenges for firms transitioning to an Agile IA approach? How does the application of Agile I ...
  3. Debate
    50 mins
    • Emerging Risks
    Putting ESG at the heart of the conduct framework  Ensuring ESG is part of the fabric and culture of the organisation  Factoring ESG into operating models, policies and relevant procedures Working clo ...
  4. Debate
    50 mins
    • Resilience Risk
    Where is the ownership of resilience and 3rd party risk most effective and how can banks better collaborate across risk functions with mutual responsibility across all 3 lines of defence? How can bank ...
  5. Debate
    50 mins
    • Surveillance
    How are comms surveillance functions addressing the risks presented by video calls which aside from audio files are largely unrecorded? What is the role of comms surveillance functions resourced to ta ...
16:25
  1. Break
    10 mins
16:35
  1. Debate
    50 mins
    • Across the 3 Lines
    Are supervisory controls adapting quickly enough to address the changing landscape of conduct risk? Can effective management of conduct risk be used as a competitive advantage? What are the potential ...
17:25
  1. Break
    10 mins
17:35
  1. Interactive Roundtable
    40 mins
    • 1st Line Control
    • Networking
    • Embracing New Technologies to Enhance the Regulatory Change Process
    • Key 1st Line Controls
  2. Interactive Roundtable
    40 mins
    • Surveillance
    • Networking
    • MAR vs Conduct & Culture Surveillance
    • Developing a Data Science Led E-Comms Surveillance Program
  3. Interactive Roundtable
    40 mins
    • Emerging Risks
    • Networking
    • Detecting Greenwashing with Accurate Criteria
  4. Interactive Roundtable
    40 mins
    • Resilience Risk
    • Networking
    • Evolution of Operational Resilience
  5. Interactive Roundtable
    40 mins
    • Audit
    • Networking
    • Evolving Regulatory Expectations for Auditors
18:15
  1. Break
    10 mins
18:25
  1. Debate
    50 mins
    • 1st Line Control
    Should 1st line control functions be undertaking manual control testing? Where have 1st line control functions leveraged testing automation technology from their Internal Audit peers? Are banks buying ...
  2. Debate
    50 mins
    • Audit
    What are the pre-requisites for Auditors to partner with assurance functions in the 1st and 2nd lines? Can you measure the “Total Cost of Control” across 3 LOD? Does the siloisation of the 3 LOD produ ...
  3. Debate
    50 mins
    • Surveillance
    What is the business case for expanding the mandate of surveillance functions to include broader data sets? What risks have banks been missing historically by omitting control room data? Is there a re ...
19:20
  1. 1:1 Meeting
    60 mins
    • Networking
    Please contact  Layla Baskott if you would like to schedule an introductory meeting with any or all of the consultants or vendors.  Click here for a list of the sponsoring consultants or vendors. 
08:00
  1. 1:1 Meeting
    60 mins
    • Networking
    Please contact  Layla Baskott if you would like to schedule an introductory meeting with any or all of the consultants or vendors.  Click here for a list of the sponsoring consultants or vendors. 
09:15
  1. Debate
    60 mins
    • 1st Line Control
    Should 1st line control functions be leading GRC technology implementations? If GRC technology is being led by the business, what is the role of Operational Risk? Are banks buying or building successf ...
  2. Debate
    60 mins
    • Audit
    Does automation represent the greatest opportunity for Internal Audit (IA) functions? What are the challenges with leveraging automation capabilities throughout IA functions? Is it feasible for audit ...
  3. Debate
    60 mins
    • Surveillance
    What does risk based surveillance mean in practical terms? Is it feasible for firms to cease their surveillance on low risk individuals? What is the regulatory support for taking a risk-based approach ...
  4. Debate
    60 mins
    • Surveillance
    How are comms surveillance teams keeping pace with the expansion of voice communications beyond the traditional desk phone? Should the business have to risk accept communications taking place outside ...
  5. Keynote
    10 mins
    • Emerging Risks
    Each of the individual streams will be opened by a senior practitioner, regulator or expert. 
10:15
  1. Break
    10 mins
10:25
  1. Interactive Roundtable
    40 mins
    • 1st Line Control
    • Networking
    • Aligning and Engaging 1LOD Control Functions with the Enterprise GRC Platform
    • Managing Inconsistent Global Regulation
  2. Interactive Roundtable
    40 mins
    • Surveillance
    • Networking
    • Operating Model: 1st Line vs 2nd Line
    • The Challenges of Remote Surveillance
    • The Ethics of Employee Surveillance
  3. Interactive Roundtable
    40 mins
    • Emerging Risks
    • Networking
    • Keeping Abreast of Diverse Regulatory Expectations and Preparing for their Impact
  4. Interactive Roundtable
    40 mins
    • Resilience Risk
    • Networking
    • Effectively Leveraging Risk Data
  5. Interactive Roundtable
    40 mins
    • Audit
    • Networking
    • Creating an Audit Function that Makes People Think
11:05
  1. Break
    10 mins
11:15
  1. Debate
    50 mins
    • 1st Line Control
    Why are 1st line surveillance teams important and if so, why do some banks retain all their surveillance capabilities in Compliance? Is there not a conflict between surveillance in the 1st line and th ...
  2. Debate
    50 mins
    • Audit
    What role should Audit play in ensuring critical services are designed with resolution in mind? How broad should the scope of operational resilience assurance be? Is there a clear understanding of the ...
  3. Debate
    50 mins
    • Emerging Risks
    Aligning products and services with:  EU taxonomy Future Green Taxonomy Green Bond Standards Implementing a practical approach and new product approval process Developing KPIs to verifying the credent ...
  4. Debate
    50 mins
    • Surveillance
    Is voice surveillance too challenging to develop successfully in house? What should a bank be looking for when turning to an external vendor for critical technology? How can banks manage the risk of c ...
  5. Debate
    50 mins
    • Surveillance
    Why is trade reconstruction so challenging? What is the scope of regulatory expectations globally for trade reconstruction? Should banks be building dedicated trade reconstruction capabilities to capt ...
12:05
  1. Break
    10 mins
12:15
  1. Interactive Roundtable
    40 mins
    • 1st Line Control
    • Networking
    • Future-Ready Workforce - Blending AI with Human Behaviour
    • 1st Line Control Testing
  2. Interactive Roundtable
    40 mins
    • Surveillance
    • Networking
    • Coverage: Comms Surveillance Beyond Sales & Trading Functions
    • Developing Workflow & Visualisation Tools for Surveillance Practitioners
    • MAR vs Conduct & Culture Surveillance
  3. Interactive Roundtable
    40 mins
    • Audit
    • Networking
    • Roles and Responsibilities and the Evolution of the Three Lines Model
    • Data Analytics within Audit
12:55
  1. Break
    10 mins
14:05
  1. Break
    20 mins
14:25
  1. Debate
    50 mins
    • Culture & Conduct
    What are the challenges that leaders and their executive teams face in leading culture/behavioural change? How well equipped are leaders to cope with the challenges of leading change? How should banks ...
  2. Debate
    50 mins
    • Emerging Risks
    Are risk and control functions missing risks by not aggregating all relevant datasets? What are the opportunities to centralise risk and control data across the 3 lines of defence? How can banks bette ...
  3. Debate
    50 mins
    • Legal Risk/Libor
    Identifying legacy products that fulfil criteria to utilise synthetic Libor Operationalising fallbacks Mitigating risks for tax, accounting and hedging issues
  4. Debate
    50 mins
    • Surveillance
    Holistic become integrated become contextual! Is the terminology a reflection of the dilution of ambition in the industry? Does an integrated approach to surveillance demand a hybrid approach to buyin ...
  5. Debate
    50 mins
    • Surveillance
    Should comms surveillance be expanded beyond “covered persons” to include every employee within the bank? Particularly those with potential access to MNPI such as Legal and Compliance? Why do regulato ...
15:15
  1. Break
    10 mins
15:25
  1. Interactive Roundtable
    40 mins
    • 1st Line Control
    • Networking
    • Building a 1st Line Control Function from Scratch
    • Algo Trading Governance
  2. Interactive Roundtable
    40 mins
    • Surveillance
    • Networking
    • The Ethics of Employee Surveillance
    • Optimising Surveillance Investigation
    • Developing a Data Science Led E-Comms Surveillance Program
  3. Interactive Roundtable
    40 mins
    • Emerging Risks
    • Networking
    • Data Leakage: How Have Changes to the Working Environment Impacted the Cyber Risks Facing Banks?
  4. Interactive Roundtable
    40 mins
    • Culture & Conduct
    • Developing a Behavioural Insights Capability
    • Sharing Good Practice
16:05
  1. Break
    10 mins
16:15
  1. Debate
    50 mins
    • 1st Line Control
    Should banks be deploying manual controls in 2021? Is there a business case for investing in automated controls? Should control automation priorities be driven by the business or technology?
  2. Debate
    50 mins
    • Culture & Conduct
    Why is it important to consider culture when formulating purpose and strategy? What is the link between customer trust, leaders' authenticity, and a strong culture? With recent tendencies towards long ...
  3. Debate
    50 mins
    • Legal Risk/Libor
    Understanding the terms of trade for legacy USD products to June 2023 Update on SOFR Examining the practicalities of regulatory reporting: from policy to implementation Anticipating liquidity levels i ...
  4. Debate
    50 mins
    • Surveillance
    Have surveillance technology teams got the business buy-in and budget they need to deliver? To what extent are data quality issues impacting the efficiency and effectiveness of surveillance programmes ...
  5. Debate
    50 mins
    • Surveillance
    Should surveillance functions integrate across trading and comms data? Why after nearly 10 years is the industry still working on integration programs? Is the regulatory expectation for integration co ...
17:05
  1. Break
    10 mins
17:15
  1. Interactive Roundtable
    40 mins
    • 1st Line Control
    • Networking
    • Local vs Global Supervision
    • Supervision Technology
  2. Interactive Roundtable
    40 mins
    • Surveillance
    • Networking
    • Buy vs Build Surveillance Technology
    • The Future of Surveillance Talent
    • Developing Workflow & Visualisation Tools for Surveillance Practitioners
  3. Interactive Roundtable
    40 mins
    • Emerging Risks
    • Networking
    • Cyber Regulatory Expectations
  4. Interactive Roundtable
    40 mins
    • Legal Risk/Libor
    • Networking
    • Digitising Contracts and Legal Workflow
    • Overcoming Libor Transition Issues in USD Lending and Loans
  5. Interactive Roundtable
    40 mins
    • Culture & Conduct
    • Networking
    • How to Equip Supervisors with the Tools to Lead Cultural Change
    • How Does your Firm Ensure that all Staff can Bring to Bear their Diversity of Experience and Background?
17:55
  1. Break
    10 mins
18:05
  1. Debate
    50 mins
    • Culture & Conduct
    What is the relevance of norms and sub-cultures to conduct risk within financial institutions? What techniques can firms use to identify negative “subcultures” within their organisation? How can these ...
  2. Debate
    50 mins
    • Emerging Risks
    Breaking down the barriers between IT, ops, cybersecurity, and risk professionals How can risk professionals contribute to technical cyber discussions? How can cyber teams incorporate risk processes ( ...
  3. Debate
    50 mins
    • Legal Risk/Libor
    Appropriately managing clients and legacy deals that are not yet remediated Creating transparency and appropriately managing information asymmetries with clients Educating clients around risks and eco ...
  4. Debate
    50 mins
    • Surveillance
    Why is trade reconstruction so challenging? What is the scope of regulatory expectations globally for trade reconstruction? Should banks be building dedicated trade reconstruction capabilities to capt ...
  5. Debate
    50 mins
    • 1st Line Control
    How can banks move away from backward looking operational risk metrics and identify risk in real time? Trading businesses have implemented significant automation in their workflow. However, manual pro ...
18:55
  1. Break
    10 mins
19:05
  1. Interactive Roundtable
    40 mins
    • 1st Line Control
    • Networking
    • Conduct Risk Metrics
    • Remote Supervision
  2. Interactive Roundtable
    40 mins
    • Surveillance
    • Networking
    • Incorporating Compliance Control Room Data with Trading Surveillance Alerts
    • Voice Technology: What Does Good Look Like?
    • Global Surveillance Regulation
  3. Interactive Roundtable
    40 mins
    • Culture & Conduct
    • Networking
    • An Audience with Nick Leeson
19:45
  1. Break
    10 mins
19:55
  1. Debate
    50 mins
    • 1st Line Control
    Where is the industry in moving towards real-time risk identification and remediation? Is there a business appetite to invest in the technology needed to provide supervisors with real time alerts? Is ...
  2. Debate
    50 mins
    • Surveillance
    How are comms surveillance teams keeping pace with the expansion of voice communications beyond the traditional desk phone? Should the business have to risk accept communications taking place outside ...
  3. Debate
    50 mins
    • Surveillance
    Is there a business case for using Trader Profiling to focus banks finite surveillance resources on areas of greater potential risk? Which behavioural indicators are banks using to ingest into trade s ...
21:10
  1. 1:1 Meeting
    60 mins
    • Networking
    Please contact  Layla Baskott if you would like to schedule an introductory meeting with any or all of the consultants or vendors.  Click here for a list of the sponsoring consultants or vendors. 
11:00
  1. 1:1 Meeting
    60 mins
    • Networking
    Please contact  Layla Baskott if you would like to schedule an introductory meeting with any or all of the consultants or vendors.  Click here for a list of the sponsoring consultants or vendors. 
13:05
  1. Break
    10 mins
13:15
  1. Debate
    50 mins
    • 1st Line Control
    Is there such a thing as risk data or are risk functions simply utilising the firms data? Can banks leverage data for risk management whilst risk functions operate in silos? Is there a regulatory expe ...
  2. Debate
    50 mins
    • Culture & Conduct
    What are the challenges that leaders and their executive teams face in leading culture/behavioural change? How well equipped are leaders to cope with the challenges of leading change? How should banks ...
  3. Debate
    50 mins
    • Emerging Risks
    Ensuring a robust second line challenge in cybersecurity The role of the CISO across the three lines The expanding role of the third line in cyber risk audit
  4. Debate
    50 mins
    • Surveillance
    What kind of hidden threats can banks identify through the integration of trading activity with client data? Do these integration initiatives present technology budget savings or simply the better ide ...
14:05
  1. Break
    10 mins
14:15
  1. Interactive Roundtable
    40 mins
    • 1st Line Control
    • Networking
    • Remote Supervision
    • Sales: Suitability & Appropriateness Controls
  2. Interactive Roundtable
    40 mins
    • Surveillance
    • Networking
    • Coverage: Surveillance Beyond Sales & Trading Functions
    • Surveillance of WhatsApp and Other Social Media
  3. Interactive Roundtable
    40 mins
    • Emerging Risks
    • Networking
    • How Should Cyber Teams be Collaborating Internally with Risk and Compliance Functions to Mitigate the Risk of Insider Threats?
  4. Interactive Roundtable
    40 mins
    • Legal Risk/Libor
    • Networking
    • Leveraging AI to Create Value from Data Insights
  5. Interactive Roundtable
    40 mins
    • Culture & Conduct
    • Networking
    • Strengthening Your Speak-up/ Listen Up Culture
    • Behavioural Science Approaches to Assessing and Monitoring Culture
14:55
  1. Break
    10 mins
15:55
  1. Break
    10 mins
16:05
  1. Interactive Roundtable
    40 mins
    • 1st Line Control
    • Networking
    • 1st Line Control Testing
    • Developing a Supervision Workflow Portal and Workflow Tool
  2. Interactive Roundtable
    40 mins
    • Surveillance
    • Networking
    • The Challenges of Remote Surveillance
    • Migrating From Rules Based to Data Science Led AI Alerts
  3. Interactive Roundtable
    40 mins
    • Emerging Risks
    • Networking
    • Data Leakage: How Have Changes to the Working Environment Impacted the Cyber Risks Facing Banks?
  4. Interactive Roundtable
    40 mins
    • Culture & Conduct
    • Networking
    • Conduct Metrics Suitable for a Markets Business
    • Lessons Financial Services can Learn from other Industries
16:45
  1. Break
    10 mins
16:55
  1. Debate
    50 mins
    • Culture & Conduct
    What are the different approaches firms are taking to incorporate behavioural science within their existing control frameworks? Should banks be hiring a Chief Behavioural Officer? What insights does b ...
  2. Debate
    50 mins
    • 1st Line Control
    In addition to trade surveillance, should banks be building controls within their order management systems to ensure compliance with global regulations? Without automated OMS controls how can trading ...
  3. Debate
    50 mins
    • Surveillance
    Is voice surveillance too challenging to develop successfully in house? What should a bank be looking for when turning to an external vendor for critical technology? How can banks manage the risk of c ...
18:45
  1. Keynote
    15 mins
    • Across the 3 Lines
    Mark Carawan, Former Chief Compliance Officer, Citigroup & Senior Advisor, 1LoD will summarise the key takeaways from the 3 day event.
19:05
  1. 1:1 Meeting
    60 mins
    • Networking
    Please contact  Layla Baskott if you would like to schedule an introductory meeting with any or all of the consultants or vendors.  Click here for a list of the sponsoring consultants or vendors. 

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Delegates

 


 

Lead Sponsors

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Co-Sponsors

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  • Acin
  • OLI

Associate Sponsors

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Book Tickets for XLoD Global 2021

Financial Institution Rate: £695 + VAT

Delegate Rate: £1395 + VAT

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