ACI’s 7th Annual Regulator Conference 14th & 15th of May 2009, Dockside, Cockle Bay Wharf, Sydney A wider vision of regulatory affairs calls for a constructive dialogue between industry, government and the citizenry, and a mutual recognition of the positive contribution that each can make in ensuring responsible corporate citizenship. These contributions are especially important during times of economic turmoil. The Australasian Compliance Institute’s Regulator Conference, now in its 7th year, is a unique two day event designed Key Topics Confirmed Speakers to allow regulators to hear from their w Solutions for future regulatory w The Hon Dr Craig Emerson, MP, industry peers in order to discuss their challenges to ensure regulators Minister for Small Business, shared issues. It provides an excellent drive best practice methods Independent Contractors and the opportunity for industry and regulators w When business is ‘too big to Service Economy, Minister Assisting to share dialogue in an open and equal fail’ – protecting consumers from the Finance Minister on Deregulation forum. By combining their intellectual regulatory oversight w The Hon Dr Barry Jones, AO, Writer, forces and exploring the regulatory w Regulator Engagement in troubled Broadcaster and former Labor Minister nuances between different industries, times w Annette Donselaar, SVP and Chief regulators can arrive at superior w The role of the regulator in the GFC Compliance Officer, New York solutions to common problems. Life International and President, w The Australian self/co-regulatory In this volatile economic climate, Australasian Compliance Institute experience – a telecommunications regulators and industry alike are perspective w Amanda Wood, General Manager expected to operate at their most Financial Services, AUSTRAC w Globalisation: The Challenge for effective levels. It is for this reason that w Lucienne Layton, Transformation National Sovereignty in a Borderless ACI has developed a program based on Director, Legal, Risk and Control World the universal and practical tools and skills Framework, Westpac common to both industry and regulators. w David Lawrence, General Manager, Participant Supervision, ASX w Louise du Pre-Alba, Senior Executive Leader, Superannuation, ASIC w Keith Chapman, Executive General The Hon The Hon Manager, Supervisory Support Dr Craig Dr Barry Division, APRA Emerson, MP Jones, AO w Neill Buck, Managing Director, Neill Buck & Associates Pty Ltd Principal Members Conference Program: Day 1 8.15 am Registration and refreshments 9.00 am Workshop A Workshop B Investigations – turning over the rocks on When business is ‘too big to fail’ – protecting success and failure consumers from regulatory oversight • D etecting and/or analysing the incident, breach We have seen that internationally some institutions or non compliance; have been judged as too big or too important to be stablishing the nature of the investigation • E allowed to fail in a volatile environment. Does this and possible end points, for example litigation; mean that they are too big to regulate or does this prosecution; undertakings; disciplinary action; mean that as government has stepped in they are reports and their audience/stakeholders; and/ being regulated in a different way? or internal corrective action and continuous In what ways is risk now different for citizens? improvement; What does this mean for consumers? Can consumers lanning and defining the boundaries of • P be assured that these institutions are “safe”? the investigation including risk managing the investigation environment, stakeholder Are there changes that should occur to ensure better aspiration management and resource planning; protection for consumers? dentifying the causal factors and incident • I What does this mean for self-regulation? The chronology including root cause analysis; Australian regulatory model is predicated on • E nsuring that the stakeholders do not fail to learn complementary sets of industry rules. Have these served us well? Neill Buck, Managing Director, Asia Pacific, Neill Buck & Associates Pty Ltd, (CCP Fellow) Gail Pearson, Professor, Business Law, Faculty of Economics and Business, University of Sydney 12.00 pm Lunch 1.00 pm Workshop C Workshop D Managing compliance teams through times of Will the current economic crisis test the foundation economic turmoil: Overcoming the challenges of Principles Based Regulation? of integration from the Westpac/St George During the past decade, many Australian (and UK) perspective regulators have moved to principles based regulation s organisations experience the pressures of a A rather than prescription based models. As we flailing economy, many compliance functions face examine the outcome of the current economic crisis budget cuts, staffing changes and restructures. we need to consider: This workshop will identify many of the challenges h • ave the internal benchmarks set by regulated your organisation may face during these times entities been set too low? and provide you with some practical skills to S • hould we move back to a more prescriptive tackle these issues. Lucienne Layton will share model – or does a hybrid exist in reality anyway? her expertise in overcoming the challenges of integrating the Westpac and St George compliance Annette Donselaar, Senior Vice President and Chief functions. Compliance Officer, New York Life International, (CCP Fellow) Lucienne Layton, Transformation Director, Legal, Risk & Compliance, Westpac, (CCP Fellow) 4.30 pm Closing remarks 4.45 pm Close of day one SPONSORSHIP OPPORTUNITIES ACI Regulator Conference 2009 ACI offers sponsors the opportunity to align themselves with a dynamic and trusted organisation at the ACI Regulator Conference on the 14th & 15th May 2009. To find out more about the opportunities to become a sponsor or exhibitor at this premier event, contact the Marketing Manager Karen Burdett on telephone +61 2 9290 1788 or email firstname.lastname@example.org ACI Regulator Conference 2009 Conference Program: Day 2 8.15 am Registration and refreshments 8.45 am President‘s Welcome Address Annette Donselaar, President, Australasian Compliance Institute, (CCP Fellow) 8.55 am Ministerial address – Relieving the burden of business: Deregulation in the GFC The Hon Dr Craig Emerson, MP, Minister for Small Business, Independent Contractors and the Service Economy; Minister Assisting the Finance Minster on Deregulation 9.30 am The challenges of harmonising state and federal regulation The Hon Dr Barry Jones, AO, Writer, Broadcaster and former Labour Minister, Professorial Fellow, University of Melbourne 10.10 am ACI’s Accreditation Graduation Ceremony 10.25 am Morning Tea 10.55 am Future regulatory challenges to ensure regulators drive best practice methods • Mapping the future regulatory landscape • Keeping ahead of the game: Developing timely and relevant regulation • How can better regulation shape behaviour? • Are we seeing the end of free market capitalism? Louise du Pre-Alba, Executive Senior Manager, Superannuation, ASIC. Amanda Wood, GM Financial Services, AUSTRAC. Keith Chapman, Executive General Manager, Supervisory Support Division, APRA. Su McCluskey, Executive Director, Office of Best Practice Regulation, Department of Finance and Deregulation 11.35 am An investigation of factors that influence regulatory implementation in Australia I n May 2009, ACI and UTS will conduct an Australian based survey with compliance professionals about the relative importance of factors that influence implementation of regulations, and what organisations need to action to achieve the intent of the regulation and embed change into the organisation’s culture. Dr Katarina Hackman, Adjunct Professor, Faculty of Business, University of Technology, Sydney (UTS) 12.00 pm Imbedding ethics into regulatory frameworks • Long term reputational risks of securitisation • The importance of designing integrity into regulatory frameworks for long term prosperity and security Prof. Charles Sampford, Director, Institute for Ethics, Governance and Law (a joint initiative of the United Nations University, Griffith, QUT and ANU) 12.30 pm Lunch 1.30 pm Regulator Engagement in troubled times Annette Donselaar, SVP and Chief Compliance Officer, New York Life International, (CCP Fellow) 2.10 pm How to maintain harmonisation between state and federal regulatory authorities – an OH&S perspective Broken concepts – how separate work cover authorities maintain a national harmonised OHS legislative approache and compliance frameworks John Watson, General Manager, Occupational Health and Safety Division, WorkCover NSW 2.50 pm The role of the regulator in the GFC David will explore how the role and position of regulators has shifted within the current economic climate David Lawrence, General Manager, Participant Supervisor, ASX, (CCP Fellow) 3.30 pm Afternoon Tea 3.50 pm Australian self/co-regulatory experience – a telecommunications perspective C • haracteristics of best practice regulation S • elf/co-regulation - a way to deliver best practice regulation? C • hallenges in self/co-regulation T • he future of self/co-regulation in telecommunications Trevor Hill, Group Manager, Consumer & Compliance, Regulatory, Telstra Corporation Limited 4.30 pm How regulation can engage with emerging social and environmental trends H • ow will sustainable compliance shape regulatory trends in the coming years • Regulation and Public-Private Partnerships Peter Briggs, Partner, Clayton Utz 5.15 pm Final remarks from the chair 5.30 pm Close of conference & networking drinks Registration Form: Name: Organisation: Phone: Email: Schedule of Fees (Please tick) Two day conference* Members $1,099 inc GST Non members $1,399 inc GST ACI may list my name and organisation in the list of delegates (but not my contact details) Registration includes all lunches, morning and afternoon teas at the Conference. Payment Method Cheque (made Payable to ACI Incorporated) OR Visa MasterCard Diners Amex Card Number: Name on Card: Expiry Date: Signature: Date: *Please select your workshop preferences below. Workshop Preferences: Invitation to Non-members Your feedback (Please tick your preferred options on day 1) If you aren’t currently an ACI member, Do you have any special dietary Morning workshop we will extend Membership Pricing to requirements? you if you join ACI prior to registering Workshop A or Workshop B for the conference. Join online at Afternoon Workshop www.compliance.org.au and you Workshop C or Workshop D will immediately be able to register for the Conference online at the Member’s rate. How did you hear about the conference? Cancellation Policy Accommodation Cancellations received on or before the ACI has negotiated discounted hotel 1st of May 2009 will be refunded less rates for those delegates that require $150 (including gst) administrative fee. accommodation, at the Four Points We will not refund your registration fees Sheraton Darling Harbour which is just if you notify us after the 1st of May 2009, minutes from the venue. The rate for or if you fail to attend. If after booking, delegates attending the ACI Regulator you are unable to attend the conference Conference are: Would you like to be informed you are welcome to nominate a City Side Run of House Room: about other ACI events and substitute to attend in your place at no $200.00 per night initiatives? additional cost, providing the substitute’s Harbour View Run of House Room: Do you attend any other details are provided in writing to the ACI $230.00 per night compliance or risk related office 48 hours prior to the event so a To book accommodation at these conferences/events? correct name tag can be available at the If so, which ones? registration desk. If you do not wish to exclusive rates, contact the hotel nominate an alternative delegate, then reservations department via email on your cancellation of registration must email@example.com and be received in writing by ACI. It is the be sure to quote promotion CODE: responsibility of the delegate to confirm XREGULAT when booking. Please that the written cancellation has been note that spaces are strictly limited so received by ACI. book now to avoid disappointment. Issued by the Australasian Compliance Institute Incorporated, ABN 42 862 119 377 on the 26th March 2009.