This document provides information about an upcoming conference on November 29-30, 2016 in London regarding regulatory disputes and investigations for financial institutions. The conference will mark 30 years since the inception of conference organizer C5 Group. Over those 30 years, C5 Group has expanded globally and hosted over 6,000 conferences. The upcoming conference will provide experts and discussions on topics related to the implications of Brexit, developments with LIBOR and forex regulations, approaches to minimizing regulatory exposure, and responding to disputes and investigations across different jurisdictions.

1. This year marks 30 years since the inception of C5 Group.
It is time to match our brand with the dynamic strides we have made.
See inside for details…
C5Business Information in a Global Context
a C5 Group Company
Register Now | +44 (0) 20 7878 6888 | C5-Online.com/FinCompliance
a C5 Group Company
Business Information in a Global Context
Join an exceptional line up of top regulators, senior banking counsel, lawyers and
litigation experts for advanced, closed-door discussions on:
»» The potential implications of Brexit on financial disputes and investigations
»» How to develop an effective approach with the regulators
»» Where are we now and heading post LIBOR and Forex?
»» The Mis-selling of financial instruments v Foreign Exchange Derivative Mis-selling
»» Practical steps for FIs to take to minimise exposure to an adverse regulatory environment
»» What should financial institutions be doing to incorporate the latest arguments into their
litigation defence strategies
»» Best practice approaches to internal protection strategies
»» How to respond to investigations and disputes across the globe
MAXIMISE YOUR LEARNING BY ATTENDING OUR EXCLUSIVE DAY OF MASTER CLASSES:
A Avoiding Disputes and Litigation - Internal Management and the Steps
to be Taken Post LIBOR and Forex
B When Disputes Arise - Funding Claims Against Financial Institutions
Natalie Greenwood
Senior Competition Lawyer
Lloyds Banking Group
Mark Bethell
Manager, Competition Department
FCA
Paul Loftus
Managing Director
Head of Legal –
Banking and Client & Customer Experience
Barclays
Tony Pooley
Chief Risk Officer
Raphaels Bank
Jeremy Scott-Joynt
Criminal Risk Officer
Bank of Montreal EMEA
David Nayler
Executive Director
Aon Risk Solutions
Ariel Berman
CUO Financial Institution
AIG
Dr Barbara Roth
Chief Compliance Officer
UniCredit Bank
Best Practice Approaches to
Minimising Exposure to
Disputes and Investigations
ASSOCIATE SPONSOR
UP TO 11.5 CPD
CREDITS AVAILABLE
FINANCIAL INSTITUTIONS,
REGULATORY DISPUTES
& INVESTIGATIONS
29th
- 30th
NOVEMBER 2016 I THE KENSINGTON CLOSE HOTEL I LONDON
SESSION SPONSOR

2. C5Business Information in a Global Context
This year marks 30 years since the inception of C5 Group.
It is time for a brand, logo and language in keeping with the
dynamic strides we have made as a company. It is time for a
brand that will take us forward for the next 30 years.
C5 Group, comprising C5 in Europe, American Conference
Institute and The Canadian Institute, will unite under one
central brand image, appropriately a globe. See how bringing
together the power of people and the power of information can
accelerate your growth and success.
Our new brand look and language will be fully revealed soon.
Stay tuned for more exciting changes.
Join the Conversation @C5Live #FICompliance Regulatory and Compliance Experts in Financial
Institutions: Networking Group
GLOBAL SPONSORSHIP OPPORTUNITIES
C5 works closely with sponsors to create the perfect business
development solution catered exclusively to the needs of
any practice group, business line or corporation.
With over 500 conferences held in Europe, Russia and the
CIS, China, India, the US and Canada, C5 provides a diverse
portfolio of first-class events tailored to the senior level executive.
To find out how to position your firm as an industry leader
by sponsoring this event, please contact Sofiane Guerni on
+44(0) 20 7878 6870 or email s.guerni@c5-online.com
The financial markets and new products continue to evolve rapidly against the ever tightening regulatory backdrop. The recent and ongoing probes
and investigations by national and global regulators, coupled with a sharp escalation in the number of claims by disgruntled clients, are resulting in an
unprecedentedly high stream of litigations and massive regulatory fines and penalties.
Join C5’s Financial Institutions Regulatory Disputes & Investigations conference which will provide cutting edge solutions for analysing, pre-empting
and dealing with the heightened risks of regulatory litigation covering:
Critical changes and updates with:
»» Brexit
»» LIBOR and Forex
»» Mis-selling of financial institutions
Benchmark your approach to dealing with:
»» Regulators
»» Minimising exposure to adverse regulatory developments
»» Internal protection strategies
How best to:
»» Respond to regulatory disputes and investigations across the globe
»» Minimise investigation and defence costs recoveries
»» Minimise cyber security threats
And make the most of your attendance by participating in the practical Master Class Day on 30th November
where you can learn within a focused intimate environment:
A. How to avoid disputes and litigation post LIBOR and Forex by strengthening your internal management
B. How to fund claims against financial institutions when disputes arise
Take advantage of our exclusive conference and learn from the experts as they advise on the best practice
approaches to minimising exposure to disputes and investigations.
We look forward to welcoming you at the conference.
Humera Akram
Senior Conference Producer
C5 Communications
+44 20 7878 6873 | h.akram@C5-Online.com
CONFERENCE ON DEMAND
Can’t take time out of the office? View the conference
from the convenience of your home or office. Save money
on travel and view the conference according to your own
schedule. This Conference recording allows you to view all
the authorised sessions and handouts.
The recorded archives of the presentations will be available
for you to view after the conference, so you can re-watch
sessions, or view any sessions you may have missed.
30 years
expanding
across
the globe
30 years
building a
network of
industry leaders
30 years
hosting more
than 6,000
conferences

3. Register Now | +44 (0) 20 7878 6888 | C5-Online.com/FinCompliance
8:00
Registration and Welcome Coffee
8:45
Opening Remarks from the Chair
John Bramhall
Partner
DAC Beachcroft
9:00
Brexit – Forecasting the Potential Implications on Disputes
& Investigations
Dr Andrew Henderson
Partner
Eversheds (Moderator)
Natalie Greenwood
Senior Competition Lawyer
Lloyds Banking Group
Shannon T. Lazzarini
Head of Group Litigation
UniCredit
Professor Jeffrey Golden
Chairman
P.R.I.M.E. Finance Foundation
LSE Governor & Honorary Fellow
Arbitrator and Expert
3 Hare Court
»» The future of litigation and the enforcement of judgments across UK
and Europe
»» Investigations – Competition and Markets Authority v European
Commission
»» Where do we stand with regard to the current and ongoing dis-
putes?
»» The implications of Brexit on Foreign Exchange disputes
»» Dealing with the two key regulators
»» Consequences of EMIR – MIFID 2 on Financial Institutions
9:45
Developing an Effective Approach with the Regulators
Mark Bethell
Manager
Competition Department, FCA
Carole Begent
Head of Legal
The Payments System Regulator
Rob Moulton
Partner, Co-Head of the Financial
Regulation Practice
Ashurst LLP
»» Dealing with the regulators and understanding what the expectations are
»» Best practices for navigating through the regulatory processes
»» Where is the regulator heading now?
»» Pipeline activities of the FCA and the Payments System Regulator
and how they go about considering possible issues
10:20
Impact of International scandals on FIs and investigations
Steve Holt
Head of Financial
& Forensic Investigations
K2 Intelligence
Benjamin Borsodi
Managing Partner
Schellenberg Wittmer
»» How international scandals such as the Panama Papers leaks, FIFA,
1MDB and Petrobras are changing the shape of investigations
»» Cross-border assistance and the use of MLATs
»» Impact on customers, processes and reputational management
»» Increased scrutiny on investigations and outcomes
11:00
Morning Refreshments
11:15
LIBOR/FX Manipulation and Derivative disputes
Robin Henry
Partner
Collyer Bristow LLP
Abhishek Sachdev
Derivatives Expert
Vedanta Hedging Ltd
»» How the most recent LIBOR cases are being presented and investigated
»» Finding new ways to bring claims against Financial Institutions
»» The implications of the Property Alliance Group Ltd v The Royal Bank
of Scotland PLC and where it will lead
»» Quantifying damages arising from LIBOR and FOREX
»» Mis-selling of Financial Instruments v Foreign Exchange
Derivative Mis-selling
›› Lessons learnt
›› Review of the recent derivative disputes
›› Currency brokers vs Banks
12:00
Practical Steps to be taken by FIs to Minimise Exposure to
Adverse Regulatory Environment
Paul Loftus
Managing Director
Head of Legal – Banking
& Client & Customer Experience
Barclays
Tony Pooley
Chief Risk Officer
Raphaels Bank
Brian Harte
Managing Director
Berkeley Research Group Ltd
»» Seizing commercial opportunities
»» Product development and conduct risk
»» Dealing with high risk jurisdictions
»» Learning from LIBOR manipulation, ISDAfix and FX Manipulation
12:45
Networking Lunch
MAIN CONFERENCE DAY ONE I TUESDAY 29th
NOVEMBER, 2016
a C5 Group Company
Business Information in a Global Context

4. 14:00
Cyber Security – Minimising New Threats
Oisín Fouere
EMEA Head of Cyber Investigations & Defence
K2 Intelligence
»» Continued evolution of cyber security threats to businesses and their
role in data breaches
»» The role of digital forensics in investigations and their influence on
data retention
»» Securing client’s when handling large volumes of data and information
»» Best practice response measures for responding to suspected cyber
breaches
14:30
Responding to Investigations and Disputes Across the Globe
Matthew Allen
Global Head of Financial Services
Disputes & Investigations
Eversheds
Dr Barbara Roth
Chief Compliance Officer
UniCredit Bank
Khawar Qureshi QC
Barrister
Serle Court London and
McNair Qatar
»» Managing relationships between London, Europe and the rest
of the world
»» Dealing with litigation and arbitration with emerging jurisdictions
»» Extra territorial disputes
»» Dealing with multiple regulators and enforcement agencies in
multiple jurisdictions
»» Cooperation between national enforcement agencies, regulators
and prosecutors from varying countries
15:15
Afternoon Refreshments
15:30
Best Practice Approaches to Internal Protection Strategies
Jo Rickards Moderator
Partner
Kingsley Napley
Jeremy Scott-Joynt
Criminal Risk Officer
Bank of Montreal EMEA
Richard Sims
Partner
Simmons & Simmons LLP
»» Responding to the key challenges and pressures faced by Financial
Institutions and senior management
»» Maintaining privilege over internal investigations and internal
employee interviews
»» Senior Managers’ Regime
»» Individual accountability and liability
»» Pushing for a cultural change
»» Implementing tools for improving costs and increasing efficiency
16:15
D&O Insurance and Responding to Regulatory Disputes
and Investigations
David Nayler
Executive Director
Aon Risk Solutions
Ariel Berman
CUO Financial Institution
AIG
John Lockey QC
Barrister
Essex Court Chambers
»» D&O 101 in 5 minutes
»» Pulling the insurance trigger…
»» Common exclusions and insurer defences
»» How to maximise investigation and defence costs recoveries
»» Ongoing dealings with insurers
»» Final adjudication and subrogation
17:00
End of Conference
MAIN CONFERENCE DAY ONE I TUESDAY 29th
NOVEMBER, 2016
Join the Conversation @C5Live #FICompliance Regulatory and Compliance Experts in Financial
Institutions: Networking Group
WHO WILL YOU MEET AT THE CONFERENCE:
Regulatory and Enforcement Agencies, Barristers and
Private Practice Lawyers specialising in:
»» Financial Disputes/Investigations/Enforcement
»» Litigation/Commercial litigation
»» Financial Regulation/Regulatory compliance
»» Financial services; Banking & Finance/Finance;
»» Capital markets/Commercial agreements
Financial Institutions:
»» Legal counsel, general counsel
»» Regulatory affairs, enforcement, investigations
and compliance
»» Competition offenses
»» Dispute resolution and litigation
»» Fraud and commercial disputes
Financial Consultancies; Forensic Accountants specialising in:
»» Forensic investigation services
»» Commercial disputes
»» Financial institutions fraud and regulatory compliance
Litigation/Arbitration Funders

5. ©C5, 2016
a C5 Group Company
Register Now | +44 (0) 20 7878 6888 | C5-Online.com/FinCompliance
MASTERCLASS A:
8:45
Registration
9:00 – 12:00
Avoiding Disputes and Litigation - Internal Management and
the Steps to be Taken Post LIBOR and Forex
Workshop Leader
Vijay Rathour
Partner – Head of Digital Forensics & Information Governance
Grant Thornton
»» Next steps for moving away from future scandals
»» Best practices for formulating detailed response strategies
»» Mitigating legal and compliance risks at a strategic and
operational level
ABOUT YOUR MASTER-CLASS LEADER:
MASTER CLASS DAY I WEDNESDAY 30th
NOVEMBER, 2016
ASSOCIATE SPONSOR
Vijay is a partner with the Forensic and Investigations practice,
leading the Digital Forensics Group at Grant Thornton. He is a UK
qualified solicitor, with over ten years of experience working in a
range of legal fields including Corporate and Transactional work,
Personal Injury and Negligence, and Corporate Litigation. He has
been engaged on many high profile investigations and disputes
across a range of industries, specialising in investigations in the
financial sector. In his role as a lawyer within the Enforcement
and Financial Crime Division of the FSA he advised on regulatory
actions and assisted in establishing enforcement strategy for the
financial markets.
K2 Intelligence is an investigative
consultancy founded by Jeremy
Kroll and Jules Kroll, the originator of
the modern corporate investigations
industry. Our multi-disciplinary teams advise governments, companies and
high net worth individuals in: complex investigations; forensic accounting;
business intelligence; investigative due diligence; anti-money laundering
and regulatory compliance; strategic decisions; and cybersecurity
investigations&defence.K2Intelligenceconsistentlyproducesremarkable
– and remarkably efficient – results for clients by knowing how and when
to employ cutting-edge technology.
Stephen is a partner at Cooke, Young & Keidan LLP. He is an
experienced commercial litigation solicitor, with a particular focus
onfinancialservicesandbankingrelateddisputes,andcontentious
regulatory matters. He has extensive experience acting for a
variety of financial institutions, including hedge funds, brokers and
investment managers. Stephen also has significant experience
of professional negligence matters, involving professionals in a
number of disciplines. He also regularly advises on a broad range
of pensions related disputes.
Hanif started his career in the derivative markets in 1988 in various
investment banks including Lazard Brothers and J.P. Morgan where
he wrote quantitative models to value derivatives, structured
products and was a proprietary trader. Hanif has experience of
derivatives based on most asset classes such as interest rates,
equities, credit and currencies. Hanif currently acts as an Expert
Witness and an expert adviser on financial markets disputes.
Therium AHV, a partnership between AHV and Therium, provides
litigation funding for disputes arising from the financial services
sector.
MASTERCLASS B:
12:30
Registration
13.00 – 15.00
When Disputes Arise - Funding Claims Against Financial
Institutions
Workshop Leaders
Stephen Elam
Partner
Cooke, Young & Keidan
Hanif Virji
Partner
AHV Associates LLP
»» Identifying potential claims
»» How is litigation funding now working?
»» What are the current changes?
»» How are decisions being made?
»» The rise of group litigation
»» Regulation of third party litigation funding area
»» Funding litigation for defective and inappropriate financial products
›› Recovering losses
ABOUT YOUR MASTER-CLASS LEADERS:
a C5 Group Company
Business Information in a Global Context
Collyer Bristow LLP is a central London law
firm, providing a comprehensive range of
legal services to commercial organisations
and high net-worth individuals, often with a
cross border aspect. The firm’s “conflict free”
Banking and Finance Disputes Group acts
for investors, borrowers and financial market
counterparties in complex and high value disputes over finance
transactions, derivatives, benchmark manipulation and investments.
SESSION SPONSOR

6. Attention Mailroom
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Payment must be received in full by the conference date
to ensure admittance. All discounts will be applied to the
Conference Only fee (excluding add-ons),cannot be combined
with any other offer, and must be paid in full at time of order.
Group discounts available to 2 or more individuals employed
by the same organisation, when registering at the same time.
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You must notify us by email at least 48 hrs in advance of
the conference if you wish to send a substitute participant.
If you are unable to find a substitute, please notify us in
writing no later than 10 days prior to the conference date. All
cancellations received will be subject to a cancellation fee of
£250.Delegates opting to receive a credit voucher will receive
a credit for the full amount paid,redeemable against any other
C5 conference in the next 12 months.
No credits or refunds will be given for cancellations received
within 10 days of the conference start date. Delegates may
not “share” a pass between multiple attendees without prior
authorisation. No liability is assumed by C5 for changes in
program date, content, speakers or venue. C5 reserves the
right to cancel any conference it deems necessary and will,
in such event, make a full refund of any registration fee, but
will not be responsible for airfare, hotel or other costs incurred
by registrants.
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The program, all program materials, refreshment breaks
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Venue Information at a Glance
Date: 29th -30th November, 2016
Venue: The Kensington Close Hotel
This year marks 30 years since the inception of C5 Group.
It is time to match our brand with the dynamic strides we have made.
See inside for details…
C5Business Information in a Global Context
UP TO 11.5 CPD
CREDITS AVAILABLEFINANCIAL INSTITUTIONS,
REGULATORY DISPUTES
& INVESTIGATIONS
29th
- 30th
NOVEMBER 2016 I THE KENSINGTON CLOSE HOTEL I LONDON
Address: Wrights Lane, Kensington, London, W8 5SP, London, UK
Telephone: (UK): +44 (0) 844 770 2322
(International): +44 (0) 207 368 4023