Driving ethical behaviour & embedding culture across the organisation
Conference Date
14th & 15th November 2018
Location
Novotel Sydney Central
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Agenda

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Day 1 - Wednesday 14th November, 2018

8:30
Registration, coffee & networking
9:00
Welcome remarks from the Chair
Vaughn Richtor
Director
Velldan Pty Ltd
9:10
KEYNOTE PRESENTATION

Dr Laker was Chairman of APRA for 11 years until 2014. As Chairman, Dr Laker was APRA’s representative on the Payments System Board of the RBA, the Council of Financial Regulators, the Trans-Tasman Council on Banking Supervision and the Basel Committee. Currently, Dr Laker is a member of the External Advisory Panel of ASIC and is Chairman of the Board of the Banking and Finance Oath.

Dr John Laker AO
Chairman
The Banking and Finance Oath
MEASURING BEHAVIOUR & CULTURE
9:50
Behaviour & culture: The DNB experience
  • What structural and cultural factors drive misconduct?
  • Identifying signals that could indicate misconduct
  • Developing adequate responses to mitigate the risk of misconduct in the future
Wijnand Nuijts
Head of Governance, Behaviour and Culture
De Nederlandsche Bank
10:30
SPEED NETWORKING

In this fun, interactive session, you will have the opportunity to meet fellow attendees and speakers in 2-minute bursts, to exchange business cards and set up conversations for the rest of the event.

10:50
Morning tea & networking
11:10
A three lines of defence approach to measuring culture and behavioural risk
  • Looking at how business leaders, HR, risk and audit collaborate to lay the aspirational culture platform
  • A “3 dimensional” approach to risk management – implementing a human-centred approach to engage with people in the business who manage risk and make business decisions
  • Turning the dial – how to provide business leaders with tools and resources to address the underlying drivers of behavioural risk in their businesses
Justin Greenstein
Senior Manager, Conduct Risk
ANZ
Vicki Chris
Senior Manager, Culture
ANZ
11:50
”Bringing the BEAR to life” in Westpac
  • Learnings from the UK, and how they influenced our program
  • Standing up the BEAR program
  • Insights post BEAR
  • BEAR in a business as usual environment
Stacey Scott
BEAR Program Director
Westpac
12:30
Networking lunch
1:30
PANEL DISCUSSION: Auditing behaviour & culture from 2nd, 3rd line & external supervision: Sharing experiences
  • Exploring common themes when auditing behaviour and culture from 2nd and 3rd line and external supervision
  • Challenges and success factors in organisational implementation, and performing behaviour and culture reviews
  • How to effectively influence behaviour and culture from an internal and external supervisory perspective
Justin Greenstein
Senior Manager, Conduct Risk
ANZ
Fahmi Hosain
Managing Director & Co-founder
Rhizome Advisory Group
Melanie de Waal
Supervisor Expert, Behaviour and Culture
De Nederlandsche Bank
2:10
Implementing technologies to address regulation and compliance
  • Using information governance as a framework to enable better corporate management of information
  • How a process method orientation puts information governance within your grasp
  • How you can measure the benefits and the investment payback
Stephen Stewart
Chief Technology Officer
Nuix
2:50
Afternoon tea & networking
ADDRESSING GOVERNANCE & ACCOUNTABILITY
3:10
Governing better: How boards can affect real change
  • Balancing strategy, policies and procedures with behaviours and culture
  • How information should flow up and down the organisation
  • How bad apples can be good for boards
  • High impact initiatives to strengthen the effectiveness of boards
Fahmi Hosain
Managing Director & Co-founder
Rhizome Advisory Group
3:50
Auditing risk culture – clarifying 3rd line responsibilities
  • Effectively measuring risk culture
  • Building risk culture into audits
Monika Goyal
General Manager, Internal Audit
Australian Securities Exchange
4:30
Accountability – Preparing for the Banking Executive Accountability Regime
  • Learning from the senior manager regime in the UK
  • Building a culture of trust through accountability
Orlando Fernandez Ruiz
Technical Specialist, Governance, Systems & Controls, Prudential Regulation Authority
Bank of England
5:10
Closing remarks from the chair and close of Day One

Day 2 - Thursday 15th November, 2018

8:30
Welcome, coffee & networking
9:00
Welcome remarks from the Chair
Vaughn Richtor
Director
Velldan Pty Ltd
CULTURE - IN PRACTICE
9:10
PRESENTATION AND GROUP DISCUSSION: The ‘ugly truths’ about culture & conduct no one wants to talk about…
  • 10 years after the GFC, why are we still arguing over what culture is, let alone ways to change it?
  • Given APRA’s CPS220 standard places responsibility for understanding risk culture in the hands of Directors, where are all the Directors today?
  • Just how comfortable are we all with the possibility that truly ‘good conduct’ might mean lower profitability for financial institutions?
  • Deep dive discussion – Exploring the tensions and conflicts that exist, but are rarely discussed – the social silences – that hamper genuine progress on the issue of culture and conduct
Elizabeth Arzadon
Managing Director
Kiel Advisory Group
10:00
CASE STUDY: What good culture looks like – Atlassian’s approach to culture, risk & compliance
  • Sharing successes, approaches and challenges to organisational culture
  • Examining culture and how it plays with risk and compliance
Guy Herbert
Head of IT Risk and Compliance & Risk Futurist
Atlassian
10:40
Morning tea & networking
11:10
CASE STUDY: Embedding a risk aware culture – Drawing parallels from outside the finance sector
  • Exploring the impact of culture on behaviour
  • Finding and preventing the wrong behaviours – Linking behaviour and culture
  • Sharing experience addressing tangible behaviour risks
  • Promoting a culture of risk awareness to drive performance
Kevin Bates
Group Head of Risk & Insurance
Lendlease Corporation
APPROACHES TO ACHIEVE & EMBED CHANGE
11:50
Organisational behaviour and leadership – Exploring the psychology of risk & organisational risk exposure
  • Organisational exposure to risk is a consequence of interactions between decision makers and their environment
  • Considering how individual and team decision processes influence organisational exposure to risk
  • Examining how leaders can create climates that encourage effective decision processes and optimise exposure to risk
Dr Emma Soane
Assistant Professor of Management
London School of Economics and Political Science
12:30
Networking lunch
1:30
PANEL DISCUSSION: Driving ethical behaviour & embedding culture throughout the organisation
  • Understanding what drives ethical behaviour and the importance of the environment around decision making
  • Embedding culture & ethics through middle management
  • Strategies to embed values and principles across the organisation
Karl Turner
Associate Director, Policy
Australian Finance Industry Association
Cris Parker
Head, The Ethics Alliance
The Ethics Centre
2:10
CASE STUDY: Building a strong culture – Sharing the journey
  • Sharing approaches to culture change
  • Challenges and opportunities for change
Alison Telfer
General Counsel and Head of Compliance
BlackRock Australasia
2:50
Q&A and GROUP DISCUSSION: Reflections and next steps – How can institutions use culture & governance to restore trust?
3:15
Closing remarks from the Chair and close Conference, followed by afternoon tea
Workshop A: Executive Education Forum – Managing Risk in Organisations
Friday 16th November 2018, 9:00am - 5:00pm

Apply new insights to risk management practices to enhance risk leadership

Risk pervades all aspects of organisational life, therefore understanding and leading risk contributes to enhancing individual and organisational performance.

By examining psychological and sociological approaches to understanding risk, new insights to risk management practices can be applied within global organisations.

In this forum, attendees will examine how human architecture influences thinking about risk and the implications for organisational exposure to risk. Participants will consider how the interactions between individual differences, team characteristics and organisational processes influence decision making and risk exposure. These insights will be used to build a model of risk taking throughout the organisation and attendees will then consider how to develop practical strategies for effective risk leadership.

The agenda will focus on 4 key themes:

  • Organisational risk exposure
  • Individual decision processes
  • Team decision processes
  • Creating a climate for optimal risk exposure

This executive forum is suitable for managers and senior managers with responsibility for risk management and participants working in organisations where risk management is a core activity. The forum will be interactive, and participants will engage in a range of activities and case discussions designed to enhance their understanding of decision processes and risk leadership.

What will you take away?

  • Enhance your understanding of the nature of risk
  • Develop insight into the personal approach to risk perception and risk management
  • Gain greater knowledge about the psychology of risk as it applies to individuals, groups and organisations
  • Understand how organisational risk cultures are created and their influence  on individual and group-level behaviour

*Refreshments & lunch provided

** This Executive Forum will be held at the SMC Conference & Function Centre in Sydney.

What people are saying

“I attended Emma’s “Managing Risk in Organisations” Executive Management course at the London School of Economics. Emma, as a psychologist, applies a unique behavioural lens to the way leaders should think about managing risk at an individual, team and organisation level. Emma has undertaken extensive research on risk leadership and is very engaging in presenting risk culture models that could improve risk management, and case studies to illustrate the relevance of these models in practice.”

– Justin Greenstein, Senior Manager Conduct Risk: ANZ

Dr Emma Soane
Assistant Professor of Management
London School of Economics and Political Science
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Key Speakers

Wijnand Nuijts
Head of Governance, Behaviour and Culture
De Nederlandsche Bank
Dr John Laker AO
Chairman
The Banking and Finance Oath
Cris Parker
Head, The Ethics Alliance
The Ethics Centre
Orlando Fernandez Ruiz
Technical Specialist, Governance, Systems & Controls, Prudential Regulation Authority
Bank of England