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 Meeting60 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.
12:00
-
Keynote5 mins
- Across the 3 Lines
Speakers
12:05
-
Keynote20 mins
- Across the 3 Lines
12:25
-
Debate50 mins
- Across the 3 Lines
Re-calibrate, roll-back or push on? Will the pace of regulatory change ease or accelerate? Will regulatory expectations in important areas such as ESG, resilience, and digital assets continue to grow? ...ModeratorSpeakers
13:15
-
Break10 mins
13:25
-
Keynote10 mins
- Audit
-
Keynote10 mins
- Emerging Risks
-
Debate70 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 ... -
Keynote10 mins
- 1st Line Control
Each of the individual streams will be opened by a senior practitioner, regulator or expert. -
Keynote10 minsEach of the individual streams will be opened by a senior practitioner, regulator or expert.
13:35
-
Debate60 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? ...Moderator -
Debate60 mins
- Emerging Risks
Incorporating ESG metrics within the risk appetite framework Embedding ESG ambitions and goals into strategic planning Identifying and quantifying ESG risksModeratorSpeakers -
Keynote10 mins
- Surveillance
Each of the individual streams will be opened by a senior practitioner, regulator or expert. -
Keynote10 mins
- 1st Line Control
Each of the individual streams will be opened by a senior practitioner, regulator or expert.
13:45
-
Debate50 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 ...Speakers -
Debate50 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 ...ModeratorSpeakers
14:35
-
Break10 mins
14:45
-
Interactive Roundtable40 mins
- 1st Line Control
- Networking
- Delegation of Supervisory Controls
- The Role of Behavioural Science
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Interactive Roundtable40 mins
- Surveillance
- Networking
-
Global Surveillance Regulation
-
Initiating an Effective Surveillance Function
-
Interactive Roundtable40 mins
- Emerging Risks
- Networking
-
Building an Integrated Approach to ESG Risk Monitoring and Framework
-
Interactive Roundtable40 mins
- Resilience Risk
- Networking
- Understanding Global Regulatory Expectations
-
Interactive Roundtable40 mins
- Audit
- Networking
-
Measuring and Influencing Culture Across the 3LOD
-
Retaining Technical Competencies Within Audit
15:25
-
Break10 mins
15:35
-
Debate50 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 ...Speakers -
Debate50 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 ...Moderator -
Debate50 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 ...Speakers -
Debate50 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 ...ModeratorSpeakers -
Debate50 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 ...Speakers
16:25
-
Break10 mins
16:35
-
Debate50 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
-
Break10 mins
17:35
-
Interactive Roundtable40 mins
- 1st Line Control
- Networking
- Embracing New Technologies to Enhance the Regulatory Change Process
- Key 1st Line Controls
-
Interactive Roundtable40 mins
- Surveillance
- Networking
- MAR vs Conduct & Culture Surveillance
- Developing a Data Science Led E-Comms Surveillance Program
-
Interactive Roundtable40 mins
- Emerging Risks
- Networking
- Detecting Greenwashing with Accurate Criteria
-
Interactive Roundtable40 mins
- Resilience Risk
- Networking
- Evolution of Operational Resilience
-
Interactive Roundtable40 mins
- Audit
- Networking
- Evolving Regulatory Expectations for Auditors
18:15
-
Break10 mins
18:25
-
Debate50 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 ...ModeratorSpeakers -
Debate50 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 ... -
Debate50 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 ...
19:15
-
Keynote5 mins
- Across the 3 Lines
Speakers
19:20
-
1:1 Meeting60 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 Meeting60 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.
09:00
-
Keynote5 mins
- Across the 3 Lines
Speakers
09:05
-
Keynote10 mins
- 1st Line Control
-
Keynote10 mins
- Audit
-
Keynote10 mins
- Emerging Risks
-
Keynote10 mins
- Surveillance
09:15
-
Debate60 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 ... -
Debate60 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 ...Moderator -
Debate60 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 ...ModeratorSpeakers -
Debate60 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 ... -
Keynote10 mins
- Emerging Risks
Each of the individual streams will be opened by a senior practitioner, regulator or expert.
09:25
-
Debate50 mins
- Emerging Risks
Complying with diverse regulatory expectations across international markets Will regulators become more prescriptive? Where do regulations make the bank focus currently? Understanding stress testing f ...Speakers
10:15
-
Break10 mins
10:25
-
Interactive Roundtable40 mins
- 1st Line Control
- Networking
- Aligning and Engaging 1LOD Control Functions with the Enterprise GRC Platform
- Managing Inconsistent Global Regulation
-
Interactive Roundtable40 mins
- Surveillance
- Networking
- Operating Model: 1st Line vs 2nd Line
- The Challenges of Remote Surveillance
- The Ethics of Employee Surveillance
-
Interactive Roundtable40 mins
- Emerging Risks
- Networking
- Keeping Abreast of Diverse Regulatory Expectations and Preparing for their Impact
-
Interactive Roundtable40 mins
- Resilience Risk
- Networking
- Effectively Leveraging Risk Data
-
Interactive Roundtable40 mins
- Audit
- Networking
- Creating an Audit Function that Makes People Think
11:05
-
Break10 mins
11:15
-
Debate50 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 ...Moderator -
Debate50 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 ... -
Debate50 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 ... -
Debate50 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 ... -
Debate50 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
-
Break10 mins
12:15
-
Interactive Roundtable40 mins
- 1st Line Control
- Networking
- Future-Ready Workforce - Blending AI with Human Behaviour
- 1st Line Control Testing
-
Interactive Roundtable40 mins
- Surveillance
- Networking
- Coverage: Comms Surveillance Beyond Sales & Trading Functions
- Developing Workflow & Visualisation Tools for Surveillance Practitioners
- MAR vs Conduct & Culture Surveillance
-
Interactive Roundtable40 mins
- Audit
- Networking
- Roles and Responsibilities and the Evolution of the Three Lines Model
- Data Analytics within Audit
12:55
-
Break10 mins
13:05
-
Debate60 mins
- Across the 3 Lines
What should banks be doing differently to develop more Black, risk and control leaders? We have been talking about diversity in the banking industry for decades. Why is it still an issue? How is diver ...Speakers
14:05
-
Break20 mins
14:25
-
Debate50 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 ...Speakers -
Debate50 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 ...Moderator -
Debate50 mins
- Legal Risk/Libor
Identifying legacy products that fulfil criteria to utilise synthetic Libor Operationalising fallbacks Mitigating risks for tax, accounting and hedging issuesSpeakers -
Debate50 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 ...Speakers -
Debate50 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 ...ModeratorSpeakers
15:15
-
Break10 mins
15:25
-
Interactive Roundtable40 mins
- 1st Line Control
- Networking
- Building a 1st Line Control Function from Scratch
- Algo Trading Governance
-
Interactive Roundtable40 mins
- Surveillance
- Networking
- The Ethics of Employee Surveillance
- Optimising Surveillance Investigation
- Developing a Data Science Led E-Comms Surveillance Program
-
Interactive Roundtable40 mins
- Emerging Risks
- Networking
- Data Leakage: How Have Changes to the Working Environment Impacted the Cyber Risks Facing Banks?
-
Interactive Roundtable40 mins
- Culture & Conduct
- Developing a Behavioural Insights Capability
- Sharing Good Practice
16:05
-
Break10 mins
16:15
-
Debate50 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?Speakers -
Debate50 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 ... -
Debate50 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 ... -
Debate50 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 ...Speakers -
Debate50 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
-
Break10 mins
17:15
-
Interactive Roundtable40 mins
- 1st Line Control
- Networking
- Local vs Global Supervision
- Supervision Technology
-
Interactive Roundtable40 mins
- Surveillance
- Networking
- Buy vs Build Surveillance Technology
- The Future of Surveillance Talent
- Developing Workflow & Visualisation Tools for Surveillance Practitioners
-
Interactive Roundtable40 mins
- Emerging Risks
- Networking
- Cyber Regulatory Expectations
-
Interactive Roundtable40 mins
- Legal Risk/Libor
- Networking
- Digitising Contracts and Legal Workflow
- Overcoming Libor Transition Issues in USD Lending and Loans
-
Interactive Roundtable40 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
-
Break10 mins
18:05
-
Debate50 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 ...Speakers -
Debate50 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 ( ...Moderator -
Debate50 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 ... -
Debate50 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 ...Speakers -
Debate50 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
-
Break10 mins
19:05
-
Interactive Roundtable40 mins
- 1st Line Control
- Networking
- Conduct Risk Metrics
- Remote Supervision
-
Interactive Roundtable40 mins
- Surveillance
- Networking
- Incorporating Compliance Control Room Data with Trading Surveillance Alerts
- Voice Technology: What Does Good Look Like?
- Global Surveillance Regulation
-
Interactive Roundtable40 mins
- Culture & Conduct
- Networking
- An Audience with Nick Leeson
19:45
-
Break10 mins
19:55
-
Debate50 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 ...Moderator -
Debate50 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 ...Speakers -
Debate50 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 ...Speakers
20:45
-
Keynote10 mins
- Across the 3 Lines
20:55
-
Keynote5 mins
- Across the 3 Lines
Speakers
21:10
-
1:1 Meeting60 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 Meeting60 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
-
Break10 mins
13:10
-
Keynote5 mins
- Across the 3 Lines
Speakers
13:15
-
Debate50 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 ...Moderator -
Debate50 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 ... -
Debate50 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 auditModerator -
Debate50 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 ...Moderator
14:05
-
Break10 mins
14:15
-
Interactive Roundtable40 mins
- 1st Line Control
- Networking
- Remote Supervision
- Sales: Suitability & Appropriateness Controls
-
Interactive Roundtable40 mins
- Surveillance
- Networking
- Coverage: Surveillance Beyond Sales & Trading Functions
- Surveillance of WhatsApp and Other Social Media
-
Interactive Roundtable40 mins
- Emerging Risks
- Networking
- How Should Cyber Teams be Collaborating Internally with Risk and Compliance Functions to Mitigate the Risk of Insider Threats?
-
Interactive Roundtable40 mins
- Legal Risk/Libor
- Networking
- Leveraging AI to Create Value from Data Insights
-
Interactive Roundtable40 mins
- Culture & Conduct
- Networking
- Strengthening Your Speak-up/ Listen Up Culture
- Behavioural Science Approaches to Assessing and Monitoring Culture
14:55
-
Break10 mins
15:05
-
Debate50 mins
- Across the 3 Lines
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 ...ModeratorSpeakers
15:55
-
Break10 mins
16:05
-
Interactive Roundtable40 mins
- 1st Line Control
- Networking
- 1st Line Control Testing
- Developing a Supervision Workflow Portal and Workflow Tool
-
Interactive Roundtable40 mins
- Surveillance
- Networking
- The Challenges of Remote Surveillance
- Migrating From Rules Based to Data Science Led AI Alerts
-
Interactive Roundtable40 mins
- Emerging Risks
- Networking
- Data Leakage: How Have Changes to the Working Environment Impacted the Cyber Risks Facing Banks?
-
Interactive Roundtable40 mins
- Culture & Conduct
- Networking
- Conduct Metrics Suitable for a Markets Business
- Lessons Financial Services can Learn from other Industries
16:45
-
Break10 mins
16:55
-
Debate50 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 ...Speakers -
Debate50 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 ...Moderator -
Debate50 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 ...ModeratorSpeakers
17:45
-
Keynote60 mins
- Across the 3 Lines
A fireside chat with a key figure from the risk & control community.Moderator
18:45
-
Keynote15 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.
19:00
-
Keynote5 mins
- Across the 3 Lines
Speakers
19:05
-
1:1 Meeting60 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.
What are people saying?
"The XLoD event was an industry leading event hosted professionally, and bringing in industry leaders and experts from all over the globe to actively debate and share their views on relevant and important topics - for the benefit of firms, individuals and the industry at large. Look forward to the next one!"
Ian Blair, Managing Director, Global Head of Surveillance, Credit Suisse
"With XLoD, the 1LoD team has once again succeeded in staging what I consider to be the premier conference event for the controls community."
Paul Clulow-Phillips, Managing Director, Co-Global Head of Markets Compliance & Global Head of Capital Markets Surveillance, Société Générale
"XLoD had a great line up of presenters and a wide range of views which provided informative and thought provoking content"
Joanne Crofskey, Head of Business Risk & Controls, ANZ
"XLoD was a great event with thoughtful content."
Terri Duhon, Chair of the Board, Investment Management EMEA, Morgan Stanley
"An amazing conference bringing a global perspective on Controls and great opportunity to network worldwide!"
Nathalie Risacher, Global Head Culture & Conduct, Natixis
"XLoD was extremely well organised, seamless for presenters and really useful content for delegates"
Nigel Kirby, Head of Group Financial Intelligence Unit, Lloyds Banking Group
"Great event as always and this time was special as we were able to connect with a wider stakeholder group across multiple time zones. The content was relevant and we had healthy and varying points of view - keep it up, great job!!"
Rajeev Chib, APAC COO Investor Sales, Citigroup
"Top class speakers at a worldwide event. Every audit professional should attend."
Gijs Borghouts, Chief Auditor, Corporate Banking, Risk & Finance, NatWest Group
“Many thanks to all at XLOD for organising a really successful event. The opportunity to gather as an industry to discuss and share our experiences of managing risk during recent times was much needed.”
Chris Hannaford, Executive Director, EMEA, Head of Surveillance and Strategy, Nomura
Delegates
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Lead Sponsors
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Co-Sponsors
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Book Tickets for XLoD Global 2021
Financial Institution Rate: £695 + VAT
Delegate Rate: £1395 + VAT
For sponsorship opportunities please contact Andrew.Lennon@1lod.com
CPD/CPE Credits are redeemable against XLoD Global attendance
Group / series booking discounts for your institution may be available. For more details please contact Dane Barnard at Dane.Barnard@1LoD.com
*Bookings outside of the UK do not require VAT