2009 ACI 7th Annual Regulator Conference - 12 CPD Points

14 - 15 May 2009, Dockside, Darling Harbour, 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 7^th year, is a unique two day event designed to allow regulators to hear from their industry peers in order to discuss their shared issues. It is also provides an excellent opportunity for industry and regulators to share open dialogue in an open and equal forum. By combining their intellectual forces and exploring the regulatory nuances between different industries, regulators can arrive at superior solutions to common problems.

In this volatile economic climate, regulators and organisations alike are expected to operate at their most effective levels. It is for this reason that ACI has developed a program based on the universal and practical tools and skills common to both industry and regulators. The topics to be covered include:

• Solutions for future regulatory challenges to ensure regulators drive best practice methods
• When business is 'too big to fail' - protecting consumers from regulatory oversight
• Regulator engagement in troubled times
• The role of the regulator in the GFC
• The Australian self/co-regulatory experience - a telecommunications perspective
• Globalisation: The Challenge for National Sovereignty in a Borderless World

Leading Expert Speakers:

Join us at this year’s conference and hear Government and industry experts discuss and debate the issues, challenges and developments in Australian regulatory compliance. Some of our confirmed speakers include:

• The Hon Dr Craig Emerson, MP, Minister for Small Business, Independent Contractors and the Service Economy, Minister Assisting the Finance Minister on Deregulation
• The Hon Dr Barry Jones, AO, Writer, Broadcaster and former Labor Minister
• Annette Donselaar, SVP and Chief Compliance Officer, New York Life International and President, Australasian Compliance Institute
• Amanda Wood, General ManagerFinancial Services, AUSTRAC
• Lucienne Layton, Transformation Director, Legal, Risk and Control Framework, Westpac
• David Lawrence, General Manager, Participant Supervision, ASX
• Louise du Pre-Alba, Senior Executive Leader, Superannuation, ASIC
• Keith Chapman, Executive General Manager, Supervisory Support Division, APRA
• Neill Buck, Managing Director, Neill Buck & Associates Pty Ltd
• Prof. Gail, Pearson, Professor, University of Sydney
• Ms Su McCluskey, Executive Director, Office Best Practise Regulation, Dept. Finance & Deregulation
• Prof. Katrina, Hackman, Adjunct Professor, School of Law, Queensland University
• Prof. Charles, Sampford, Director, Institute for Ethics, Governance and Law (a joint initiative of the United Nations University, Griffith, QUT and ANU)
• Mr John Watson, General Manager, Occupational Health & Safety Division, WorkCover NSW
• Mr David Lawrence, ASX Participant Supervisor, ASX
• Mr Trevor Hill, Group Manager, Consumer & Compliance, Telstra Regulatory
• Mr Peter Briggs, Partner, Clayton Utz

Day One: Workshop Selections

9am to 12pm - Choice of Workshop A or Workshop B

Workshop A

Investigations - turning over the rocks on success and failure

• Detecting and/or analysing the incident, breach or non compliance;
• Establishing the nature of the investigation and possible end points, for example litigation; prosecution; undertakings; disciplinary action; reports and their audience/stakeholders; and/ or internal corrective action and continuous improvement;
• Planning and defining the boundaries of the investigation including risk managing the investigation environment, stakeholder aspiration management and resource planning;
• Identifying the causal factors and incident chronology including root cause analysis;
• Ensuring that the stakeholders do not fail to learn

Neill Buck, Managing Director, Asia Pacific, Neill Buck & Associates Pty Ltd, (CCP Fellow)

Workshop B

When business is 'too big to fail' - protecting consumers from regulatory oversight

We have seen that internationally some institutions have been judged as too big or too important to be allowed to fail in a volatile environment. Does this mean that they are too big to regulate or does this mean that as government has stepped in they are being regulated in a different way? In what ways is risk now different for citizens? What does this mean for consumers? Can consumers be assured that these institutions are "safe"? Are there changes that should occur to ensure better protection for consumers? What does this mean for self-regulation? The Australian regulatory model is predicated on complementary sets of industry rules. Have these served us well?

Gail Pearson, Professor, Business Law, Faculty of Economics and Business, University of Sydney

1pm to 4:30pm - Choice of Workshop C or Workshop D

Workshop C

Managing compliance teams through times of economic turmoil: Overcoming the challenges of integration from the Westpac/St George perspective

As organisations experience the pressures of a flailing economy, many compliance functions face budget cuts, staffing changes and restructures. This workshop will identify many of the challenges your organisation may face during these times and provide you with some practical skills to tackle these issues. Lucienne Layton will share her expertise in overcoming the challenges of integrating the Westpac and St George compliance functions.

Lucienne Layton, Transformation Director, Legal, Risk & Compliance, Westpac, (CCP Fellow)

Workshop D

Will the current economic crisis test the foundation of Principles Based Regulation?

During the past decade, many Australian (and UK) regulators have moved to principles based regulation rather than prescription based models. As we examine the outcome of the current economic crisis we need to consider: - have the internal benchmarks set by regulated entities been set too low? - Should we move back to a more prescriptive model - or does a hybrid exist in reality anyway?

Annette Donselaar, Senior Vice President and Chief Compliance Officer, New York Life International, (CCP Fellow)

This conference has been allocated 12 CPD Points.

Please contact ACI for information on how you can save with a group booking discount!!

For further queries about this event contact the Event Manager, Fiona Wilkie or contact the office on +61 2 9290 1788, or click below to register your attendance.

Conference Brochure

For full conference details, including the Conference Program and registration form, CLICK HERE.

Accommodation

Special rates have been arranged for all ACI delegates at the Four Points Sheraton, Darling Harbour. To take advantage of the below rates please call Sally Baker on 02 9290 4871, or CLICK HERE to contact the hotel groups department and quote the below code:

RATES:

City Side Run of House Room: $200.00/night

Harbor View Run of House Room: $230.00/night

CODE: XREGULAT

CLICK HERE to be taken to Hotel Website

Please note that upon booking a non-refundable deposit will be required. All accommodation and incidentals are to be settled by the individual delegate and are not included in the Conference Registration Fee.

Registration Fees

All registration fees include conference satchel including any relevant handouts, moring tea, lunch, afternoon tea (For both days).

Members: $1099.00 inc GST

Non-members: $1399.00 inc GST

Please note that one day registration fees will not be offered.

Cancellation Policy

Cancellation received on or before 1 May 2009 will be refunded less $150 (including GST) administrative fee. We will not refund your registration fee if you notify us after 1 May 2009, or if you fail to attend. If, after booking, you are unable to attend the conference you are welcome to nominate a substitute to attend in your place at no additional cost, providing the substitute's details are provided in writing to the ACI office 48 hours prior to the event so a correct name tag can be available at the registration desk. Please note members can only substitute members. If the substitution is from a member to a a guest, the registration cost difference must be paid.

If you do not wish to nominate an alternative delegate, then your cancellation of registration must be received in writing by ACI. It is the responsibility of the delegate to confirm that the written cancellation has been received by ACI.

To obtain the membership discount your membership must be paid up to 30 June 2009.