ACI's 7th Annual Regulator Conference by hjkuiw354


									 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
 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?
                                                                                                      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	
                                                                                                      •			 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
                                                                                               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
           	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
           •			 haracteristics	of	best	practice	regulation	
           •			 elf/co-regulation	-	a	way	to	deliver	best	practice	regulation?	
           •			 hallenges	in	self/co-regulation	
           •			 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
           •			 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                              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
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       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.

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