(u) risk based compliance management (dubai)-event

8/10/2019 (U) Risk Based Compliance Management (Dubai)-Event

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UNItraining courses are thoroughly researched and carefully structured to provide practical and exclusive

training applicable to your organization.

Benefits include:

Thorough and customized programs to address current market concerns

Illustrations of real life case studies

Comprehensive course documentation Strictly limited numbers

Capitalize on the expert knowledge to gain maximum value

on these vital issues:

EXPLOREhow others are dealing with the latest regulatory changes

LEARNfrom global compliance events and how they impact your organizationCREATEa healthy risk based compliance culture within your organization

EMBRACEthe perspective of compliance as something more than just law

DRIVEperformance while implementing effective governance and compliance

ALIGNwith managements goals and expectations while maintaining high integrity

business conduct

MANAGEthe behaviors of staff and management to ensure compliance is achieved

by all levels of employees

Proudly Organised by:

Course Facilitator:

Mr. Peter Whyntie

Director & Principal Consultant

Peter Whyntie & Associates

irector

ompliance Australia

ommittee Member

Governance Institute of Australia

ormerly Corporate Secretaries

Australia Corporate and Legal Issues

ormer Chairman & Lecturer

Certified Compliance Professionalccreditation Course

GRC Institute (formerly Australasian

ompliance Institute)

ormer positions held include:

Partner - KPMG

Executive Manager, Wealth Risk Management

Commonwealth Bank Australia

Head of Risk Management & Compliance

Zurich Financial Services

Chief Manager Projects Commonwealth

Bank of Australia

Head of Compliance Colonial Australian

Financial Services

Head of Product Development PrudentialHead of Compliance - ANZ Funds

Management

Director of Finium Trustees Limited and

Accountants Superannuation Fund

uthor of the following published articles:

CSA Journal Keeping Good Companies, Aug

2013: Pros and cons of a dedicated Risk

Committee

CSA Journal Keeping Good Companies,

Oct 2012: Strategic Risk Management the

neglected element of FRM

CSA Journal Keeping Good Companies, Oct

2009: The Walker Review: Is it relevant for

Australian companies

ACI Compliance & Regulatory Journal, Dec

2010: The convergence of risk and compliance:

Employing risk management practices to drive

an efficient operationally - focused compliance

framework

ACI Compliance & Regulatory Journal, Nov

2007: Effective Direction of Compliance from

the Board A Directors Survival Guide

Gain Insights of Contemporary Compliance Issues and How Successful Organizations

Align their Compliance and Risk Management

15th - 16th October 2014 Dubai, UAE

Claim up to

12 hours CPD

Points

Risk ased ComplianceRisk Based Compliance

ManagementManagement

Successful Results Based on Peter Whynties Consulting Experience

FREE TAKE AWAYS!!

A number of models and techniques that will be outlined in the course slide pack thateach delegate will receive a soft copy of

Free access to Mr. Peter Whyntie for a period of six months following the course to

discuss techniques and the applications

Actions Results

Reviewed why a major wealth managerscompliance team was not engaging with

the business and unable to align with its

strategic direction

The client adopted the recommendations andwithin a short period the frictions between

the business and compliance team had

been resolved and the Head of Compliance

was delivering at a strategic level that had

not been achieved previously.

Acted as Expert Adviser to a financial

institution undergoing a major regulatoryintervention that had to appoint an

Independent Compliance Expert to

supervise the rectification program

By having Peter acting as a sounding board

to review the program implementation ateach project stage prior to the Independent

Compliance Expert formal review, the client

could anticipate objections and issues. This

significantly reduced the project costs and

prevented delays.Undertook an industry survey for a client

and provided an opinion on appropriate

governance structures and ways to

address independent reporting linerequirements that the regulator was

seeking to impose on the industry

The client was able to successfully argue

its position with the regulator which resulted

in a more practical and cost effective

governance and compliance structure thatmet the regulators concerns


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Workshop Overview

This two-day master class will develop delegates appreciation and knowledge of a range of concepts and techniques to affect frameworks

that align a companys compliance with its risk management and ethical frameworks. It will explore what the contemporary global

developments are, why the focus has shifted to culture, how to harness project management disciplines to successfully implement majorcompliance initiatives. It will utilize recent case studies that demonstrate the significant damage to a companys market value when

compliance fails.

DAY 1| 15th October 2014 DAY 2|16th October 2014

SET THE SCENE COMPLIANCE EVENTS AND

DEVELOPMENTS AROUND THE GLOBE

Regulatory changes globally and locally including Personal

Data Protection, FATCA and AML-CMT how are others

coping

Compliance surveys and what they are telling us

What are the big issues impacting compliance around theworld

Impact of increasing penalties the increasing focus on the

Compliance Manager and what it means

COMPLIANCE MORE THAN JUST THE LAW

A model for setting compliance risk appetite

Role of compliance in protecting reputation

The rise of GRC convergence of compliance with risk

management

Case study: The flaming IPO - exploring how a limited focus

on compliance blindsided a company and derailed its capital

raising plans

CULTURE TRUMPS PROCESS CREATE A RISK BASED

COMPLIANCE CULTURE IN YOUR ORGANIZATION

Defining the importance of a healthy compliance culture

Examining what are the key influences

Handling critical behaviors among staff

The negative factors

Case studies: The good, the bad and the ugly- exploring

the importance of culture as well as process to organizations

performance

PROMOTE AND MAINTAIN INTEGRITY DRIVEN

PERFORMANCE THROUGH STRONG GOVERNANCE AND

COMPLIANCE

Directors role managing or governing

Effective governance frameworks

Who should own the Code of Conduct

Case studies: Rogue traders or organizational failure

- a bank gets it horribly wrong illustration of effective and

ineffective governance of compliance

DEVELOP PRACTICAL FRAMEWORKS THAT ALIGN WITH

THE BUSINESS OBJECTIVES AND COMPLIANCE GOALS

Conceptual model for senior management and boards

Aligning with the business

Model for aligning with operational risk management

Managing across multiple regulatory regimes

Setting the compliance business plan

SURVIVE THE MAJOR REGULATORY CHANGES AND

INTERVENTIONS

Understanding legislative change life cycle

Developing fit for purpose response

Meeting competing stakeholder expectations

Minimizing the damage

Case study: the Insiders- exploring where effective focus

on compliance advantaged companies in major insider trading

cases

PROJECT MANAGING MAJOR COMPLIANCE

IMPLEMENTATION

Assessing the key factors of compliance

Implementation life cycle

Managing expectations from different parties

Achieving successful transitioning

TACKLE CHANGING BEHAVIOURS A PRACTICAL MODEL

The Influencer method

Culture, self-regulation and outcomes

Successful cultures what differentiates them

The Model vital behaviors

Case study and practical demonstration: Illustrating the

benefits of applying the behavior change methodology

PRE-COURSE QUESTIONNAIRETo ensure that you gain maximum value from this course, a

detailed questionnaire will be forwarded to you upon registration

to establish your exact training needs and issues of concern. Your

completed questionnaire will be analysed by the course trainer

prior to the event and addressed during the event. You will receive

a comprehensive set of course documentation to enable you to

digest the subject matter in your own time.

In-House Training

Cost effective In-house courses, tailored specifically to your

organisations needs, can be arranged at your preferred location

and time. If you would like to discuss further, please contact our

In-house division at [email protected].

Program Schedule

(Day 1 - Day 2)

08:30 Registration09:00 Morning Session Begins

10:40 - 11:00 Refreshments & Networking Break

12:45 Luncheon

14:00 Afternoon Session begins

15:30 - 15:50 Refreshments & Networking Break

17:00 Course Ends


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WHO SHOULD ATTEND

This program is uniquely designed and will be of particular

benefit to CEOs, Managing Directors, General Managers,

Presidents, Vice Presidents, Directors, Heads, Senior Managers

and Managers of:

Compliance

Governance

Legal

Risk Management

Internal Control

Audit

WHY YOU CANNOT MISS THIS EVENT

Love it or hate it, compliance is here to stay! If your job is to

manage compliance come and hear about the innovations

being made to better engage the business, to deliver to your

stakeholders expectations and to gain your place at the top

table. If you are managing the business come to learn how you

are part of the solution, how you own the outcome and thereforehow to influence the inputs. If you are a Director you are

ultimately accountable for whether your organization complies or

not and thus fails or prospers come and hear how governance

of compliance is developing and build your knowledge of whether

your management team is delivering to your requirements.

Testimonials:

Peter was able to enter our organization and quickly understand our business, what we are trying to achieve and our approach

to achieving our goals. He listened to members to the executive and senior managers, was able to allay their apprehension about

consultant reviews, adapted his examples and language to connect with individuals and extract essential information on our risk

management processes. Thefinal report acknowledged what we were doing well, painted a picture of potential improvements and

provided us a comprehensive but achievable set of recommendations to improve our Risk Management System.~ Chief Risk Officer

I have known Peter for the better part of 10 years, and worked with him for approximately 5 years during our time together at Zurich

Financial Services Australia. In that time I found Peter to be a thorough professional with a highly pragmatic approach. He has a

deep understanding and wealth of experience in the areas of compliance, risk management and governance. I have no hesitation in

recommending Peter to prospective clients.~ Head of Strategy & Corporate Affairs

Peter brings depth and breadth of his knowledge, experience, values and professionalism. Delegates to his master classes will benefit

from his outstanding technical expertise combined with his pragmatic commercial approach.~ Director

I have worked closely with Peter Whyntie for well over 15 years both as a GRC peer on industry issues and Government submissions

and jointly on significant bet your house client matters involving regulatory liaison with potential for wider class actions and

civil penalties. He is an international thought leader on GRC and I have always enjoyed his ability to engage at both an advanced

theoretical level whilst providing very practical suggestions and insights that are of assistance on a day to day level. Delegates will

also enjoy his cheerful informality plus participative presentation or workshop style.~ Partner

Peter Whyntie facilitated an enterprise wide review of our risk management practices against the financial services sector best

practice standards. This review was conducted in a very open,flexible and professional manner. The outcomes of the review provided

detailedfindings and importantly, value added recommendations. This review has certainly added value to our risk governance

approach and practices.~ Chief Governance Officer


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Mr. Peter Whyntieis a leading industry expert in Governance, Risk and Compliance. He has over 27 years of experience as a regulator,

corporate management and consulting. While specializing in financial services his clients span a wide range of industries. He commenced

his consulting career as a Partner of KPMG and now consults independently.

He is recognized for his practical, pragmatic approach that focuses on fitting solutions to companies rather than fitting companies into

models. He is particularly sought out by clients seeking to ensure that their governance, compliance and risk management frameworks

align and operate cost effectively while engaging staff and management.

Over recent years he has delivered master classes in Australia and Malaysia, and written a number of articles for leading complianceand governance journals. He has been Chairman of the GRC Institute where he has also participated as a lecturer for the CertifiedCompliance Professional accreditation course which he helped develop. He has also been Chair of the Governance Institute of Australia

Corporate and Legal Issues Committee which develops submissions to government, regulators and the Australian Stock Exchange. He

still serves on that Committee.

In recent years Peter has assisted some of Australias leading financial institutions in addressing major regulatory actions and in enhancingtheir frameworks to meet the demands arising from these actions. This included one action that involved the only dual enforceable

undertaking issued in the financial services market by both Australian Prudential Regulation Authority and Australian Securities and

Investments Commission.

Peter is the author of the following published articles:

CSA Journal Keeping Good Companies, Aug 2013: Pros and cons of a dedicated Risk Committee

CSA Journal Keeping Good Companies, Oct 2012: Strategic Risk Management the neglected element of FRM

CSA Journal Keeping Good Companies, Oct 2009: The Walker Review: Is it relevant for Australian companies

ACI Compliance & Regulatory Journal, Dec 2010: The convergence of risk and compliance: Employing risk management practices to

drive an efficient operationally - focused compliance framework

ACI Compliance & Regulatory Journal, Nov 2007: Effective Direction of Compliance from the Board A Directors Survival Guide

Other engagements completed or ongoing include:

Facilitated obtaining Australian Financial Services Licences for a number of overseas wholesale investment clients

Developed and enhanced risk and compliance frameworks

Acted as expert consultant to a large US based Trust to assist its establish dealing operations in Australia

Conducted conflicts of interest management reviews including related party transactions for a major property development and

investment management company and advised its Board on addressing significant areas of concern

Assisted a major operator of dark pools trading to address concerns of the regulator with its AML/CTF program and framework Reviewed the effectiveness of the operational and strategic risk management framework and advised on implementing

enhancements

Advised a major debt collection and factoring company on resolving significant compliance and risk management deficiencies identified

by its regulators across the countries in which it operates

Partial list of companies that have benefitted from Peters expertise:

Commonwealth Bank Australia

MLC (Wealth Management Division in NAB)

Macquarie

FRM Australia

BNP Paribas Asset Management

Westpac

Bank MuamalatSME Bank

First Commercial Bank Taiwan

Liquidnet

Etiqa Insurance

Iskandar Invest

Hwang Investment Management

Kaplan Funds Management

Morgan Stanley

Zurich Capital Markets

Jardine Lloyd Thompson

Bank Negara Malaysia

RHB Investment Bank

Hwang Investment Management

Alliance Bank

Agrobank

AmGeneral Insurance

Citizens Development Business Finance

Danajamin Nasional

Kenanga Investment Bank

ABOUT YOUR COURSE FACILITATOR

Public Bank

KTM Corporate Finance

Barrington Corporate Finance

Ram Rating Services

Takaful Malaysia

Sime Darby Plantations

Felda Global Ventures Holdings Boustead Penang Shipyard

Malaysia Airports

Petronas Gas Berhad

Nestle Products Sdn Bhd

MISC Berhad

Sime Darby Plantations

Felda Global Ventures Holdings

Boustead Penang Shipyard

Malaysia Airports

Petronas Gas Berhad

Nestle Products Sdn Bhd

MISC Berhad

Telekom Indonesia

Tenaga Nasional Berhad

Shell Refining Co (FOM) Berhad

Police Credit Union

Maritime, Mining, Power Credit Union

State Government Employees Credit Union

Community First Credit Union

(u) risk based compliance management (dubai)-event

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