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The past few years has seen a huge growth in Internet and Ecommerce technology within the Financial Service Arena. This in turn has led to a wide range of implications for Compliance in Finance. Financial institutions cannot afford to ignore the Ecommerce business opportunity, however they must make extra care that they comply with all the rules and regulations that are in place.

Consumers are becoming more and more wary of undertaking financial business over the Internet. It is important that they feel secure and protected, this in turn will increase the value of the financial products they use. Therefore it is essential that financial institutions comply both for the relevant regulatory bodies and for the finance customer.

E-compliance for financial services is organised and produced by SMi. We specialise and thoroughly research the Finance sector to pin areas which senior level executives, such as yourself, need to be informed of. SMi conferences are leading-edge business events offering delegates the opportunity to meet and network with senior industry figures.

Please register now to guarantee your place at this important conference.

Conference programme

8:30 Registration & Coffee

9:00 Chairman's Opening Remarks

Dr Peter Johnstone

Dr Peter Johnstone, Reader in Law and Head Research for the School of Accountancy, Information Systems and Law, University College of Northampton

9:10 THE E-COMMERCE REGULATORY FRAMEWORK

Sarah Stockman

Sarah Stockman, Compliance Development Manager, Woolwich

  • Current & future e-commerce legislation
  • Key practical considerations for non-designated investment products & services
  • What Europe & the future are likely to bring
  • 9:40 PROMOTING INVESTMENT PRODUCTS OVER THE INTERNET & MONITORING COMPLIANCE

    Gillian Weatherill

    Gillian Weatherill, Compliance Manager, Intelligent Finance

  • Current & future FSA legislation
  • Compliance Considerations for Introducers
  • Meeting Disclosure Requirements
  • How to Demonstrate that your Company is Compliant
  • 10:20 THE RISE OF E-COMPLIANCE FOR FINANCIAL INSTITUTIONS

    Ingeborg Meijssen

    Ingeborg Meijssen, Regulatory and Legal Adviser Ecommerce, ABN AMRO Bank

  • The impact of new channels and technologies on compliance
  • Gaining a competitive edge by implementing high standards of ecommerce controls
  • Customer protection regulations in the financial eCommerce environment
  • Implementing & promoting an eCompliance culture
  • 11:00 Morning Coffee

    11:20 KEYNOTE ADDRESS: FUTURE REGULATION AND COMPLIANCE

    Jonathan Goodliffe

    Jonathan Goodliffe, Legal Adviser, General Counsel Division, Financial Services Authority

  • The growing concern for compliance and regulation when using the Internet
  • Future legislation for the regulation of on line financial services
  • The growth of financial services on the web
  • The added risks of moving your organisation onto the Internet
  • Cross Border regulation, jurisdiction and compliance issues
  • 12:00 KEYNOTE ADDRESS: DATA PROTECTION IN THE UK

    David Smith

    David Smith, Assistant Commissioner, Office of the Data Protection Commissioner

  • The UK Data Protection Act
  • The growing concern for data protection when using the internet
  • The importance of Data Protection for Communications, and Privacy when operating in Cyberspace
  • The UK Data Protection Commisioner’s approach to data protection problems on the Internet
  • Protecting your customers from the added risks of finance on the internet
  • 12:40 Networking Lunch

    13:40 COMPLIANCE IN MALTA

    Francis X.Caruana

    Francis X.Caruana, Compliance Manager, Banking Services, Bank of Valletta

  • The rules and regulations for Financial Institutions in Malta
  • How does Malta differ to UK compliance?
  • The rise of Ecompliance in Malta
  • Key factors in the management of Ecompliance for your organisation
  • Monitoring your internet web site to ensure it is meeting the regulatory requirements
  • The world wide web and opening doors to cross border regulation
  • 14:00 IT SECURITY, AND COMPLIANCE

    Bill Monk

    Bill Monk, Head of Compliance Services, Sema Group

  • The Turnbull Report and its impact on businesses - Corporate Governance
  • Risk management the importance of appropriate and correct company and employee policies
  • Copyright - how to avoid the pitfalls in your software usage
  • The Data Protection Act and its impact on Financial Service organisations
  • The growing risk of IT security breaches in Financial Services
  • Avoiding fraud by implementing effective IT security procedures
  • 14:20 FINANCE ON THE INTERNET

    Henning Holter

    Henning Holter, Managing Director, Moneygator

  • Finance market trends moving from traditional investment methods to a business-to-consumer online financial service
  • The importance of Moneygator’s privacy policy
  • Regulatory requirements for intermediaries acting for financial institutions
  • The Data Protection Act and the importance of security on the Internet
  • Incorporating the relevant disclaimers to your internet site
  • The importance of disclaimers to ensure quality and security for your customers
  • 15:00 Ecommerce & Compliance Training

    Lisa Dickinson

    Lisa Dickinson, Global Compliance Training Leader, GE Capital Global Consumer Finance

  • Compliance and Training - regulatory requirements
  • E-learning and Compliance Training
  • Developing a Compliance Intranet site
  • Developing a e-compliance culture
  • International and Global compliance Training
  • Future e-compliance training considerations for Financial services
  • 15:40 Afternoon Tea

    16:30 FINANCIAL SERVICES AND COMPLIANCE SYSTEMS

    Peter Parker & Clive Warburton

    Peter Parker & Clive Warburton, Managing Director & Legal and Administration Director, Integrated Business Compliance

  • The need for an appropriate Compliance System for Financial Service Organisations
  • Considerations to be made for Compliance when using computer systems
  • Monitoring made easier with the aid of IT
  • Introducing a tailor made Internet and compliance system
  • Integrating all the various compliance systems
  • Updating your business internally to respond to external compliance updates
  • 17:00 Chairman’s Closing Remarks and Close of Day One

    8:30 Re-registration and Coffee

    9:00 Chairman's Opening Remarks

    David Hughes

    David Hughes, Partner, Head of Banking & Regulatory Litigation, DLA

    9:10 KEYNOTE ADDRESS: MORTGAGES AND DISCLOSURE

    Luke March

    Luke March, Chief Executive, Mortgage Code Compliance Board

  • The changing face of Mortgage Regulation
  • The Mortgage Code principles and their impact on e-mortgages
  • Market movements, from traditional channels to internet mortgages
  • Application of the Mortgage Code to all categories of internet provider
  • Need for Code revisions and effective monitoring of e-mortgage market
  • Ensure Mortgage Code protection extends to internet mortgage customers
  • 9:40 ‘FIT AND PROPERNESS’

    Philip Gough

    Philip Gough, Senior Manager, Financial Services Regulatory Consulting Group, PricewaterhouseCoopers

  • Changing legislation on Ecompliance for financial services
  • What is ’fit and proper’ in relation to the Internet?
  • Are the IT department also be responsible for ecommerce compliance?
  • Monitoring the fit and properness for your internet financial distribution methods
  • Regulatory response to current Ecompliance issues
  • 10:20 MONEY LAUNDERING VIA THE INTERNET

    Jos de Wit

    Jos de Wit, Group Compliance Officer, ING Group

  • Banks and money laundering
  • Business principles in a financial institution
  • Detection of Money laundering
  • The successful implementation of Compliance audits
  • The increasing risks for banks involved in internet trading
  • Safety Precautions taken against internet Money Laundering
  • 11:00 Morning Coffee

    11:20 ECOMMERCE AND MONEY LAUNDERING

    Richard Smolicz

    Richard Smolicz, Senior Fraud Consultant, Nationwide Building Society

  • The growth of the internet
  • The added risks of promoting and selling on the internet
  • Security issues for your internet web site
  • Opening the market for money laundering
  • Front line implications for Money Laundering
  • Updates in FSA regulation
  • 12:00 OFFSHORE COMPLIANCE

    Ian Montgomery & André Grenier

    Ian Montgomery & André Grenier, Managing Director & Head of Compliance, Bank of Ireland Fsharp, Bank of Ireland (IOM), Bank of Ireland (Jersey)

  • Surrounding compliance and e-regulation on the Isle of Man
  • Complying with business transaction laws abroad
  • Offshore financial institutions and the world-wide international financial services market
  • Are there greater expectations on offshore financial companies?
  • Compliance and offshore internet banking
  • 12:40 Networking Lunch

    13:40 FINANCE INDUSTRY REGULATION AND ECOMPLIANCE

    Paul Greenhalgh

    Paul Greenhalgh, Head of Compliance, Egg Investments

  • The importance of integrated compliance for ecommerce businesses
  • Current regulation and legislation and its limitations for ecommerce business
  • Influencing regulatory change to take account of rapid technological change
  • The benefits of one stop regulation under FSA umbrella for the future
  • 14:20 KEYNOTE ADDRESS: BANKING CODE AND COMPLIANCE

    Seymour Fortescue

    Seymour Fortescue, Chief Executive, Banking Code Standards Board

  • The Banking Code Standards Board
  • Where are we?; Future Plans; The new Code
  • Is the code delivery channel specific or independent?
  • What are the particular challenges of internet banking
  • Privacy and Security; Cross border banking and jurisdiction
  • New products; Monitoring Compliance
  • 15:00 ECOMMERCE AND INTERNATIONAL REGULATORY BOUNDARIES

    Martin Hollobone

    Martin Hollobone, Director of New Media Regulation, KPMG

  • International Regulation. Why do you need it?
  • The increasing use of the internet for financial services
  • Abiding to country specific regulation
  • Compliance issues abroad
  • Integrating target country compliance regulation into ecommerce
  • Real Time on the Web- keeping up to date with changing regulation
  • 15:40 Afternoon Tea

    16:00 UK LAW AND THE IMPACT ON FINANCIAL SERVICE COMPLIANCE

    Steven Lear

    Steven Lear, Solicitor for Ecommerce in Banking, Norton Rose

  • A summary of recent key UK legislation (including the Electronic Communications Act 2000 and the Regulation of Investigatory Powers Act 2000)
  • The legal and financial market changes that are to follow
  • How does this legislation impact on financial institutions?
  • What does this mean for the customer?
  • How can financial institutions prepare for these developments?
  • 16:30 MOBILE COMMERCE COMPLIANCE

    Arnold Drenth

    Arnold Drenth, Programme Manager, Financial Services, ICL

  • Rising market trends from ecommerce to mcommerce
  • Is mobile financial services being compliant?
  • What standards should be set for mobile financial service providers?
  • The current regulation for mobile commerce
  • Regulating mcommerce: How can it, and will it be done?
  • Evaluating customer response to ensure compliant financial service provision
  • 17:00 Chairman's Closing Remarks and Close of Conference

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    WHAT IS CPD?

    CPD stands for Continuing Professional Development’. It is essentially a philosophy, which maintains that in order to be effective, learning should be organised and structured. The most common definition is:

    ‘A commitment to structured skills and knowledge enhancement for Personal or Professional competence’

    CPD is a common requirement of individual membership with professional bodies and Institutes. Increasingly, employers also expect their staff to undertake regular CPD activities.

    Undertaken over a period of time, CPD ensures that educational qualifications do not become obsolete, and allows for best practice and professional standards to be upheld.

    CPD can be undertaken through a variety of learning activities including instructor led training courses, seminars and conferences, e:learning modules or structured reading.

    CPD AND PROFESSIONAL INSTITUTES

    There are approximately 470 institutes in the UK across all industry sectors, with a collective membership of circa 4 million professionals, and they all expect their members to undertake CPD.

    For some institutes undertaking CPD is mandatory e.g. accountancy and law, and linked to a licence to practice, for others it’s obligatory. By ensuring that their members undertake CPD, the professional bodies seek to ensure that professional standards, legislative awareness and ethical practices are maintained.

    CPD Schemes often run over the period of a year and the institutes generally provide online tools for their members to record and reflect on their CPD activities.

    TYPICAL CPD SCHEMES AND RECORDING OF CPD (CPD points and hours)

    Professional bodies and Institutes CPD schemes are either structured as ‘Input’ or ‘Output’ based.

    ‘Input’ based schemes list a precise number of CPD hours that individuals must achieve within a given time period. These schemes can also use different ‘currencies’ such as points, merits, units or credits, where an individual must accumulate the number required. These currencies are usually based on time i.e. 1 CPD point = 1 hour of learning.

    ‘Output’ based schemes are learner centred. They require individuals to set learning goals that align to professional competencies, or personal development objectives. These schemes also list different ways to achieve the learning goals e.g. training courses, seminars or e:learning, which enables an individual to complete their CPD through their preferred mode of learning.

    The majority of Input and Output based schemes actively encourage individuals to seek appropriate CPD activities independently.

    As a formal provider of CPD certified activities, SMI Group can provide an indication of the learning benefit gained and the typical completion. However, it is ultimately the responsibility of the delegate to evaluate their learning, and record it correctly in line with their professional body’s or employers requirements.

    GLOBAL CPD

    Increasingly, international and emerging markets are ‘professionalising’ their workforces and looking to the UK to benchmark educational standards. The undertaking of CPD is now increasingly expected of any individual employed within today’s global marketplace.

    CPD Certificates

    We can provide a certificate for all our accredited events. To request a CPD certificate for a conference , workshop, master classes you have attended please email events@smi-online.co.uk

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