TECC 2018 Documents


THURSDAY WORKSHOPS

Group I

W01 - MiFID II - Knowledge & Competence
W02 - WORKSHOP CANCELLED
W03 - Conduct & Culture - Oliver Geffroy - Protiviti
W04 - Remote Trading Supervision: The importance of a strong oversight model

Group II

W05 - MiFID  II - Algo Trading
W06 - Technology & Innovation: New ways of working (Agile, PACE)
W07 - Compliance Officer Responsibilities & Liability - No Presentation(s)
W08 - Outsourcing

Group III

W09 - MiFID II - Product Governance       Handout - Slide 14
W10 - Technology & Innovation: Enhancing Monitoring & Surveillance
W11 – Compliance Training - how to achieve greater impact
W12 – AML D4/5 - Development & Outcome

THURSDAY PLENARIES

P01 – Keynote Speech - No Presentation
P02 – Brexit - A Panel Discussion - No Presentation
P03 – The Political Environment & Regulation
P04 – Behavioural Economics - Not available - White Paper available here


FRIDAY WORKSHOPS

Background Documents for W20 - Mega-Trends in US Regulatory Compliance and Enforcement:

1 - DOJ FCPA
2 - DAO Report
3 - CTFC Advisory
4 - SEC Investor.gov Advisory
5 - DOJ Evaluation of Corporate Compliance Programs
6 - Yates Memo

Group IV

W13 - MiFID II - Research      Presentation      Handout
W14 - Technology & Innovation: How is Technology going to help Compliance deliver?
W15 - EU Benchmark Regulation - Half-time
W16 - Sanctions & Embargos

Group V

W17 - MiFID II - Conflicts
W18 - Technology & Innovation: Virtual Currencies (e-Money)
          Plus additional documents:  Here and here
W19 - Data Privacy - GDPR
W20 - Mega-Trends in US Regulatory Compliance and Enforcement

FRIDAY PLENARIES

P05 - The Brussels Perspective - Speech
P06 - Parallel Worlds Compliance: Panel Discussion - No Presentation(s)
P07 - Heads of Compliance Panel - No Presentation(s)