5 - 7 March 2013, Cavendish Conference Centre, London2 Day Conference and Workshop www.compliance-pro.co.uk

Achieving leadership in capital markets compliance

WHY ATTEND COMPLIANCE PRO: CAPITAL MARKETS?Because Compliance Pro gives you more than any other event:

CONFIRMED ATTENDANCE: CHIEF COMPLIANCE OFFICERS AND HEADS OF COMPLIANCE FROM:J.P. Morgan, Credit Suisse, Citigroup Global Market, ABN AMRO Global Clearing, Morgan Stanley, GETCO, EQUIDUCT, Henderson Global Investors, IMC fi nancial markets, Sanford C. Bernstein, Ronin Trading UK, Optiver Holding, Burgundy, Aviate Global, Commerzbank, Erste Group Bank, EFG Financial Products, Maple Bank, EuroTLX, NASDAQ OMX, TOM Group, UBS, WyeTree Asset Management, Cenkos Securities, Knight Capital Group, Crédit Agricole Corporate and Investment Bank, Polar Capital, BNY Mellon Asset Servicing, BBVA, Deutsche Boerse

In-depth market research – over 120 interviews conducted over 4 months and consultation with a high level advisory board of compliance experts to design this unique agenda

Over 35+ high level speakers from Europe’s leading fi nancial institutions and more than 150+ high ranking compliance decision makers offering you a unique networking opportunity with peers

Meet and discuss directly with senior regulatory representatives from the European Commission, European Parliament and ESMA to get fi rst hand clarity on the upcoming regulatory framework.

markets complianceBENEFIT FROM BEST PRACTICE IN COMPLIANCE

Market and Trading Surveillance Strategy and Regulatory update

• Getting Clarity on Rising Regulation

Get fi rst hand clarity from European Regulators on Market Abuse, ESMA guidelines and Short Selling to set up your regulatory action plan and to resist the “regulatory tsunami”

• Tackling the Strategic Challenges

Mapping the changing landscape and tackling the strategic internal and external challenges for chief compliance offi cers in fi nancial institutions to build up a long-term strategy

• Implementing a “tone at the top” culture

Creating a reliable culture of compliance in your organisation’s DNA to reduce risks, minimise reputational damage and support your business

• Detecting manipulative behaviour across asset classes

Implement successfully a real cross asset class surveillance to detect highly complex and manipulative activities, insider dealing and cross border manipulation

• Managing Complexity in Trading and Market Surveillance

Establish state of the art monitoring and surveillance systems to fulfi l successfully and most effi ciently rising regulatory requirements and market complexity to avoid the headlines

• Analysing Algo Trading and HFT patterns

Keep pace with rising speed and volume through Algo and High Frequency Trading in your trading department to detect infringements rapidly

Register today:

Save £500.

Book before

7th Dec

In-depth market research – a high level advisory board of compliance experts to design this unique agenda

MORE

Over 35+ high ranking compliance decision makers offering you a unique networking opportunity with peers

MORE

Meet and discuss European Parliament and ESMA to get fi rst hand clarity on the upcoming regulatory framework.

MORE

Meet and discuss with our regulatory experts!

Konstantinos Botopoulos, Chair, ESMA-Pol Standing Committee

Arlene McCarthy, MEP, European Parliament

Philip Tod, Deputy Head of Unit, Securities Markets, DG Internal Markets and Services, European Commission

Meet and discuss with our regulatory experts!

Konstantinos Botopoulos, Chair,ESMA-Pol Standing Committee

EXCLUSIVE

35+High Level Speakers:

Chief Compliance Offi cers and Heads of Compliance from Europe’s

leading Financial Institutions

Mark Goulden, Head of EMEA Markets Compliance, J.P. Morgan

Lasith Dissanayake, COO for Compliance EMEA, Credit Suisse

Nick Child, Head of EMEA Markets & Banking Compliance, CITI

Paul Willis, Global Compliance Offi cer, ABN AMRO Global Clearing

David Churton, Head of Capital Markets Compliance EMEA, Morgan Stanley

Brian Rowe, Global Head of Compliance, Henderson Global Investors

Robert Barnes, CEO UBS MTF, Managing Director, Equities, UBS

Ian Werner, General Counsel, EQUIDUCT

Joakim Strid, Head of Trading Surveillance, NASDAQ OMX

Dr Ulrich L. Goeres, Chief Compliance Offi cer (CCO) & Group General Counsel, Erste Group Bank

Meet over 100 Heads of Compliance from Financial Institutions

Media PartnersSponsored by

5 - 7 March 2013, Cavendish Conference Centre, London

Achieving leadership in capital Achieving leadership in capital

Learn to ‘Talk Trader’ at our exclusive workshop

Thank you to our industry

partners for their input

and feedback - the result

is Compliance Pro:

Capital Markets! After

several months of in

depth research with heads of compliance and surveillance

across Europe we bring to you the meeting place for senior

compliance professionals in Financial Services. We enlisted

the services of some of the leaders in this fi eld to form our

working group and ultimately they have been instrumental in

creating the meeting agenda, selecting speakers and ensuring

the conference focuses on the real challenges of the industry.

The Compliance Pro team and working group look forward to

you joining the discussion in March 2013.

What price does your business place on compliance? What is the value of getting it right fi rst time? Or the potential cost of getting it wrong?

Created by compliance

professionals for compliance

professionals

Paul Willis, Global Compliance Offi cer, ABN AMRO Global Clearing

Dr Ulrich L. Goeres, Chief Compliance Offi cer (CCO) & Group General Counsel, Erste Group Bank

Andreas Gehrke, Global Head of Compliance, EFG Financial Products

Peter Nylen, Head of Market Surveillance, Burgundy

Ben Moolenbeek, Head of Compliance, IMC fi nancial markets

Dodd-Frank, EMIR, MiFID II, Basel III, FATCA, Solvency II, ESMA guidelines… in the face of this regulatory tsunami, how do you even prioritise what to tackle fi rst?

As regulations make business in the front offi ce increasingly diffi cult and complex, how do you get the buy in from business heads and create a culture of compliance?

Market and trade surveillance, now compulsory, requires complex and expensive technology – how do you ensure your business has the right surveillance technology in place to catch the next rogue trader?

Compliance Pro is a unique forum where you will fi nd answers to these questions and many more. Exclusively for Heads of Compliance and CCOs, this event addresses the most pressing, top level issues you face in your business today in a format designed to encourage networking, debate, and the formation of practical solutions to your compliance challenges.

WHO YOU WILL MEET?

THE BUSINESS CASE FOR ATTENDING COMPLIANCE PRO CAPITAL MARKETS:

Regulatory fi nes and penalties

Regulatory advice, consultancy and legal fees

Project restarts and missed deadlines

To attend Compliance Pro and avoid all of the above?

YOUR £999 TICKET TO COMPLIANCE PRO INCLUDES:2 days of content from over 35 speakers, all Heads of Compliance, Heads of Market Surveillance, Chief Compliance Offi cers or senior European Regulators

The opportunity to network and benchmark with over 100 of your peers – Find out what they are prioritising in their organisations

Selected vendors presenting their solutions – discover cutting edge tools and technology to automate compliance monitoring

Direct access to representatives from ESMA, the European Commission and the European Parliament – demand clarity and get your questions answered

Peer-lead roundtable discussions on the latest regulations – discover the practical steps taken by other businesses to meet regulatory demands

Your investment in attending in Compliance Pro is an investment in the future of your business – act today to reserve your place.

$1,000,000,000

$1,000,000

$500,000

OR £999

Demonstrate your compliance expertise in capital markets to over 100 Heads of Compliance.

Asset Managers 25%

Banks/Brokers 45%

Trading Venues 15%

Regulators 5%

Vendors 10%

UK 70%

Rest of Europe 25%

Rest of the World 5%

DAY 1, 5th March 2013MARKET SURVEILLANCE DAY

DAY 2, 6th March 2013STRATEGY & REGULATORY DAY

Paul Willis,

MEET THE TEAM

Demonstrate your compliance expertise in capital markets to over 100 Heads of Compliance.Sponsorship opportunities

Register today:

Sponsoring Compliance Pro: Capital Markets is your unique chance to address

an audience of high-level decision makers, develop strategic partnerships and

benefi t from great networking and branding opportunities.

Want to fi nd out how you can raise your profi le at Compliance Pro: Capital

Markets?

“The challenges for Compliance Managers within High Frequency Trading fi rms are changing dramatically. This is the perfect time to re-defi ne your strategy and Compliance Pro: Capital Markets provides the highly specialised platform that will actually assist you in these changes and offers you the possibility to discuss the

challenges ahead.”

Ben Moolenbeek, Head of Compliance, IMC fi nancial markets

$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000$1,000,000,000

$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000$1,000,000

$500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000 $500,000

DAY 1, 5th March 2013MARKET SURVEILLANCE DAY

DAY 2, 6th March 2013STRATEGY & REGULATORY DAY

8:15 Registration and coffee8:50 Chair’s opening remarks9:00 Key Note: “Getting back in control” – Arranging the monitoring and

surveillance activities in order to fulfi l regulatory requirements and market conduct rules successfully and most effi ciently

Konstantinos Botopoulos, Chair, Hellenic Capital Market Commission (HCMC), ESMA-Pol Standing Committee

9:30 Compliance with a High-Frequency Trading fi rm: a changing role in the Compliance Manager’s profi le?

Ben Moolenbeek, Head of Compliance, IMC fi nancial markets David Dohmen, Compliance and Operations Manager, Ronin Trading UK

This presentation will lead to a panel discussion:

Panel: Analysing Algo Trading and High Frequency Trading patterns andthe impact on trading and market surveillance to keep pace with rising

speed and volume and to rapidly detect infringements Peter Nylen, Head of Market Surveillance, Burgundy Joakim Strid, Head of Trading Surveillance, NASDAQ OMX Michael Zollweg, Head of Trading Surveillance Offi ce, Frankfurt Stock Exchange & Eurex, Deutsche Boerse Group

10:30 Benefi tting from best practice: Monitor trading at the speed of trading – Implementing Real Time Monitoring Systems and Structures to act in time to abusive behaviour before the regulator does

11:00 Refreshments and networking break

11:30 Panel: Coping with the broadening scope and rising complexity in market and transaction surveillance on new markets, new asset classes and technology impacts

Mark Goulden, Managing Director, Head of EMEA Markets Compliance, J.P. Morgan

Stefano Cuccia, Head of Market Supervision and Legal, EuroTLX Robert Barnes, CEO UBS MTF

12:15 Providing a highly effective and easy usable infrastructure for developing and deploying real-time event driven risk and monitoring analytics through complex event processing to detect patterns time-to-market

12:45 Lunch and networking break

13:45 Panel: Identifying innovative monitoring structures and methods beyond existing paradigms. Creating a holistic monitoring approach to fi ght the next insider dealing: are there ever enough controls or is there even too much of it around?

Ian Werner, General Counsel, EQUIDUCT Vipin Sood, Head Of Compliance, GETCO Konstantinos Botopoulos, Chair, Hellenic Capital Market Commission (HCMC),

ESMA-Pol Standing Committee

14:30 “Technology is becoming CCO’s best friend” – Setting the role of technology in compliance management and capturing insight on how technology can help you to overcome the regulatory compliance burden

15:00 Refreshments and networking break

15:30 Panel: Leveraging technology and using the right tools to ensure AML compliance in times of rising fi nancial crime and risk complexity

16:15 Successfully implementing a real cross asset class surveillance to detect highly complex and manipulative activities, insider dealing and cross border manipulation

16:45 Panel: The ESMA guidelines on HFT and algo trading: Interpreting the guidelines on systems and controls in an automated trading environment for trading platforms and investment fi rms

Tony Eastwood, Managing Director, Trade Surveillance/Disciplinary/Anti-Fraud, Credit Suisse

Frank Boom, Head of Market Surveillance, TOM Group Michael Edis, Head of Compliance - Knight Capital Europe, Knight Capital Group Heike Brune, Global Compliance Offi cer, Optiver Holding

17:30 Wrap up17:45 Networking drink reception in the exhibition area

8:00 Registration and coffee

8:30 “Getting prepared for the new reality: Mapping the changing landscape and the strategic challenges for chief compliance offi cers in fi nancial institutions”

Dr Stephan Niermann, Head of Global Advisory Securities Compliance, Commerzbank

8:50 Panel: The evolving role of the Chief Compliance Offi cer – From the fi re brigade to a strategic leader position: Is there a new profi le needed?

Brian Rowe, Global Head of Compliance, Henderson Global Investors Karin Horgan, Managing Director Compliance, Crédit Agricole Corporate and

Investment Bank Germany Mike Gould, former Head of EMEA Compliance, Russell Investments

Independent Compliance Expert David Cooper, Head of Compliance and AML, Cenkos Securities

9:30 Panel: Creating a successful and reliable culture of compliance in your organisation’s DNA to reduce risks, minimise reputational damage and support business by utilising advanced training techniques – “Tone at the top”

Lasith Dissanayake, COO for Compliance for EMEA, Credit Suisse Rob Chouhan, Head of Compliance, Aviate Global Dr Ulrich Goeres, Global Head of Compliance, Chief Compliance Offi cer, Erste

Group Bank Boura Kym Tomlinson, Chief Legal and Compliance Offi cer, Polar Capital

10:15 “Is Lobbying a dirty word in compliance?” A controversial discussion on developing effi cient communication strategies in managing and infl uencing regulatory change to engage with regulators and to deal with regulator’s concerns

Paul Willis, Global Compliance Offi cer, ABN AMRO Global Clearing

10:45 Refreshments and networking break

11:15 Panel Discussion: “Resisting the regulatory tsunami” – Meet evolving regulatory requirements and get prepared in time by implementing a corporate regulatory strategy

Nick Child, Managing Director, Head of EMEA Markets & Banking Compliance, CITI David A. Ellis, Head of Legal & Compliance, Sanford C. Bernstein Bharat Samani, Corporate & Investment Banking - Executive Director, Head of

Compliance, BBVA Andreas Gehrke, Head Compliance, EFG Financial Products

12:00 Getting clarity on the new Short Selling Regime and analysing market implications

Philip Tod, Deputy Head of Unit, Securities Markets, DG Internal Markets and Services, European Commission

12:30 Time is running short: Market Abuse: From MAD and MAR – Preparing early for the new cross fi nancial instruments regulation to comply with the MAD and MAR update:

Arlene McCarthy, MEP, European Parliament

13:15 Lunch and networking break

Peter Nylen, PANEL

brigade to a strategic leader position: Is there a new profi le needed? Brian Rowe, Karin Horgan,

PANEL

organisation’s DNA to reduce risks, minimise reputational damage and support business by utilising advanced training techniques – “Tone at the top”

PANEL

market and transaction surveillance on new markets, new asset classes and technology impacts

Mark Goulden,

PANEL

PANEL

PANEL

Managing Director, Trade Surveillance/Disciplinary/Anti-Fraud,

PANEL

regulatory requirements and get prepared in time by implementing a

CITIPANEL

Reserve your place todayRegister today:

GET IN TOUCH TODAY:✔ Call:

✔ Email:

✔ Web:

Day 2 6th March 2013STRATEGY & REGULATORY DAY

WORKSHOP - 7 MARCH 2013 - 9.00-12.30“Positioning The Facts – Positioning Compliance” Master class –

with Communications Guru Doug Spence

Financial Institutions (Investment Banks, Asset Managers, MTFs, Trading Venues, Exchanges)

Package For bookings madebefore Fri 7th Dec

Final Price

2 Day Main Conference + Workshop £1,498 £2,198 SAVE £700

2 Day Main Conference £999 £1,499 SAVE £500

Solution Providers (software, technology, applications, consulting)

Package For bookings made before Fri 7th Dec

Final Price

2 Day Main Conference + Workshop £2,498 £3,198 SAVE £700

2 Day Main Conference £1,999 £2,499 SAVE £500

“Talking trader” can be one of the biggest challenges in your role. You know what must be done – but without the buy-in of the front offi ce, it can be a frustrating battle to implement any change. This essential workshop with internationally renowned communications expert Doug Spence will give you the tools you need to engage business heads throughout your organisation and get their buy-in and support for your role and the changes you need to implement.You will learn and take away some of the best techniques and tools to ensure that all your verbal and written communique are impactful and effective:

- Why even in the world of compliance the facts are never enough

- Surprisingly “It’s not what you say, but How you say it” is only the tip of the iceberg

- The Psychology of Communication, “Winning Hearts as well as minds”

- Putting some fun into the fundamentals without detracting from the importance of the message

- The power and the perils of personal pronouns, how to release the former and avoid the latter

- Why counter-intuitively compliance is not all about edict, but education, empathy and empowerment

- Apprehension is not action, to get people to act we fi rst must behave differently as we communicate with them

- The 7 crucial principles of the Language of Persuasion and the Art of Infl uence

- If your message means Change…Beware, how to overcome resistance and What People hate even more than Change

- Applying the proven principles of “Positioning The Facts” to get your audience to Respond and not React, to Embrace and not Eject you and your message

*Prices subject to 20% UK VAT

Key Training

14.15 Getting clarity on the new Short Selling regime and managing regulatory complexity

• Getting clarity on which companies/ products/classes/fi nancial instruments are covered under the new regime.

• Assessing the overall transparency requirements to use the correct reporting formats and reporting ownership on the short selling transactions

• Analysing the technical requirements like reporting of short selling positions to comply with specifi c limits/thresholds

• Getting clarity on specifi c exemptions for the different market players and analysing the role of market makers and similar players related to creating liquidity

• Assessing short selling activities if the venue is located outside the European Union, if European trades are booked outside Europe and third party branches are located outside Europe to create global compliance

Jochen W. Mann, General Counsel, Global Head of Legal & Compliance, Maple Bank

David Churton, Managing Director, Head of Capital Markets Compliance EMEA, Morgan Stanley Philip Tod, Deputy Head of Unit, Securities Markets, DG Internal Markets and

Services, European Commission

15:00 Panel: Understanding the new pre and post-trade transparency requirements under MiFID II

• Getting clarity on the new trading venue category in Europe OTF/Broker Crossing Networks and the collateral impact on market surveillance, as well as new transparency requirements on other asset classes

• How to implement compliant structures and processes for the new corporate governance regime, the new order documentation (taping etc.) and best execution duties arising from MiFID II

Billie Stevens, Head of Compliance, Palladyne International Asset Management

Benoît Sauvage, Adviser, Financial Market Regulation, The Luxembourg Bankers’ Association (ABBL)

15.30 Refreshments and networking break

16:00 Panel: Understanding the impact of FATCA on your business and preparing for the implementation phase

• Reinterpreting the latest text and identifying the crucial issues which will affect your business

• Identifying, classifying and categorising clients, accounts and owners in an effi cient way to reduce manual efforts and complexity

• Creating business awareness of the FATCA implications and challenges and effectively communicating throughout the company to avoid pitfalls

Mariano Giralt, Managing Director, Head of EMEA Tax Services, BNY Mellon Asset Servicing

16:30 Interactive Regulatory Round Tables on

These round tables will give you the unique opportunity to deep dive into the latest and most important regulatory challenges and implications related to the latest regulation. Address your crucial questions in these exclusive round tables to get the most out of it. We will ensure that this will be peer to peer and it will strictly focus on the practical implementation to maximise your personal benefi t. Transfer the best practical takeaways directly to your business!

17:00 End of conference

Panel: Understanding the new pre and post-trade transparency requirements under MiFID IIPANEL

PANEL

These round tables will give you the unique opportunity to deep dive into the latest and

EMIR & Dodd Frank

MiFID II

Short Selling

FATCA

Learn to ‘Talk Trader’ at our exclusive workshop