QUMAS GLOBAL COMPLIANCE EVENT
QUMAS execute a series of conferences; with industry expert guest speakers addressing topical compliance and technology issues that aid Financial Services firms meet their Governance Risk and Compliance challenges. This month's event is as follows, and welcomes David Weymouth as its guest speaker:
Wednesday 29th November 2006 - 5:00 to approx 7:30pm
at The Oriental Room, London Capital Club - 15 Abchurch Lane, London, EC4N
Click here to download an invitation
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David Weymouth, ex-CIO Barclays Group, who says: What does this mean for the compliance agenda? |
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Kevin Ludwick, Head of Regulatory Services – ex FSA Your compliance department should be organised and resourced according to the size and complexity of your business. |
5–5.30: Registration and Refreshments – please arrive promptly to register and enjoy refreshments before the event begins.
5.30: Welcome and Introduction
Financial Services firms face an ever-changing and, despite the FSA's recent announcement, ever-increasing regulatory burden.
5.40 (20 min): Presentation 1
QUMAS Compliance Maturity Model
Kevin Ludwick will present the Compliance Maturity Model as a way of assessing the appropriateness of a compliance organisation and the correlation between capabilities and complexity of a firm. Kevin will look at the role of technology in benchmarking compliance functions and assessing gaps that may exist.
Kevin’s presentation will explain how to use the model to identify where a department is now, where it should aim to be, and in particular look at how to evolve from the current, possibly disorganised state, to one of a higher, but appropriate, maturity and look at the technology steps to progress along the curve.
6.00 (½ hour): Presentation 2
David will speak about the convergence of technology solutions that are designed to address not only the needs of customers but satisfy the compliance and regulatory agenda as well.Hear about the latest approach to CRM, workforce Optimisation and STP.
David Weymouth will speak about why compliance professionals need to be a part of their organisation’s technology decision-making. What do outsourcing, straight through processing, technology footprint and value-based architecture mean for compliance?
6.30 – Q&A followed by Cocktails & Canapés and the opportunity for discussion with both speakers. Approx close: 7.30pm.
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David Weymouth, Director, Chordiant David Weymouth enjoyed a 27 year career in the Barclays Group .He had senior roles in Risk Management,Corporate Banking Operations and IT and was Group CIO for five years until his departure in 2005. Since leaving Barclays he has worked independently ,as a Director of Chordiant,on the DTI Operating committee and as advisor to a portfolio of clients in the financial services and government sector.He is a regular speaker at industry events and participant in the research work of the Leading Edge Forum. |
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Mr. Kevin Ludwick, Head of Regulatory Services for QUMAS Kevin brings a wealth of experience to QUMAS, both as a regulator and as a Head of Compliance responsible for designing and implementing compliance strategy. Kevin joined the FSA in 1999 supervising all major European and Japanese financial institutions in London. He subsequently ran the Listing Review and was responsible for negotiating relevant EU Directives and revising the UK Listing Rules in parallel with Sarbanes-Oxley in the U.S. Further, he created a single supervisory function for the new Markets Division and built the FSA's centralized regulatory decisions function. Prior to joining the FSA, Kevin was the Head of Compliance for Bank of America EMEA, running a compliance function that operated across 11 jurisdictions, and was the former Finance and Compliance Director for Indosuez Capital. |