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The one-stop-shop for all compliance monitoring and assurance issues

19 - 21 September 2017

St James' Court Hotel, London

The 5th Annual Edition of CMAS brings you industry insight into a wide range of issues with a special focus on:

  • Understanding how RegTech can Improve Your Processes
  • Getting to Grips with the Impact  of New FinTech on Compliance
  • Hearing how your Peers tackle Monitoring and Assurance Challenges
  • Learning how to Adapt Your Processes to the Changing Regulatory Landscape

Companies represented include;

  • LV=
  • Homeserve
  • Metro Bank
  • Standard Life
  • Raphaels Bank
  • ANZ
  • Zurich Life

And many more to be announced!


The conference will feature a mix of industry-led panel sessions and presentations including;

  • Ensuring Good Governance Throughout the Product Life-Cycle
  • Vulnerable Customers – Monitoring Outcomes
  • Embedding Risk Management Ownership in First Line Management
  • Auto-advice - Systemic Risk or Systemic Good Outcomes?
  • Beyond Risk and Compliance - Utilising HR Data to Improve Monitoring Processes
  • FinTech & Regulation in Action

The Challenges of Quality Assurance in Retail Financial Sales and Customer Service

  • Understanding the requirements of the regulator
  • Effectively auditing your QA framework and activities
  • Ensuring your QA is outcomes-focused and risk-based
  • Different approaches to QA scoring and classification
  • Getting education and training right to support QA
  • Developing a culture which reinforces QA
  • Second line oversight and monitoring of QA
  • Demonstrating good practice to the FCA


Hear from first-rate industry speakers

Howard Copeland, Head of Risk and Compliance Assurance, Standard Life Investments
Howard Copeland

Head of Risk and Compliance Assurance

Standard Life Investments

Anthony McCloskey, Compliance Monitoring Officer, Veterinary Defence Society
Anthony McCloskey

Compliance Monitoring Officer

Veterinary Defence Society

Philip Brown, Head of Transformation and Policy, LV=
Philip Brown

Head of Transformation and Policy


Matt Gore, Chief Administration Officer, Pension Insurance Corporation
Matt Gore

Chief Administration Officer

Pension Insurance Corporation

Simon Cavell, Head of Risk (Commercial & Customer), YBS Group
Simon Cavell

Head of Risk (Commercial & Customer)

YBS Group

Ian James, Head of Marketing Risk and Governance, Homeserve
Ian James

Head of Marketing Risk and Governance


Matthew Connell, Head of Regulatory Developments, Zurich UK Life
Matthew Connell

Head of Regulatory Developments

Zurich UK Life

Bob Barclay, Risk Manager, ABN AMRO
Bob Barclay

Risk Manager


Fintan Byrne, Head of Risk & Chief Compliance Officer, CurrencyFair
Fintan Byrne

Head of Risk & Chief Compliance Officer


Helen Kenyon, Head of Compliance and Conduct Risk, Metro Bank
Helen Kenyon

Head of Compliance and Conduct Risk

Metro Bank

David Ogden, Compliance Manager, Seven Investment Management
David Ogden

Compliance Manager

Seven Investment Management

Simon Wilkin, Head of Financial Crime Group, Sumitomo Mitsui Banking Corporation
Simon Wilkin

Head of Financial Crime Group

Sumitomo Mitsui Banking Corporation

Monica Gogna, Partner, Ropes & Gray
Monica Gogna


Ropes & Gray

Justin Nathan, Surveillance Specialist, Credit Suisse
Justin Nathan

Surveillance Specialist

Credit Suisse

Nick Bamford, Executive Director, Informed Choice Ltd
Nick Bamford

Executive Director

Informed Choice Ltd