Compliance

The exchange of experiences is characterised by a traditionally very constructive and intensive dialogue between the speakers, including experts from the banking association, the supervisory authority, auditors and banking practitioners, as well as the participants.

The event, which is attended by high-calibre experts and specialists, provides comprehensive information on practical aspects of modern compliance work and offers great added value for the daily work of compliance officers.

The event will focus on the following topics:

• Deep dive into crypto trading
• DORA update: Where do banks stand today?
• Market abuse surveillance trends 
• Panel: How is AI implemented in compliance? (EU AI Act)
• WpHG special audits and OWiG proceedings: Strategies for emergencies
• Experiences/findings from the 2024 WpHG audit
• Overview of current legal developments
• Implementation of the Accessibility Enhancement Act: Focus on WpHG
• Market integrity – current developments/focus areas

Detailed information can be found in the Agenda .

Speakers:

Daniel Bögeholz, Associated Partner, lindenpartners PartmbB, Tomas Girardi, Senior Manager, Auditor, FSI Audit & Assurance, Deloitte GmbH, Tatjana Graf, Consultant, Market Surveillance, Software, Electronics and Entertainment Industry (WA 25), Federal Financial Supervisory Authority (BaFin), Jens Hahn, Partner, Auditor, FS Attestation, KPMG AG Wirtschaftsprüfungsgesellschaft, Frank Mehlhorn, Project Initiative Dialogue Strengths (IDS), Federal Association of German Banks e. V., Leo Müller, Associate, Capital Markets, Association of German Banks, Rukshan Permal, Partner, PwC Forensic Services, Hartmut Renz, Partner, Financial Services, Regulatory Risk & Compliance Advisory, STRATECO GmbH, Uwe Schöpp, Senior Manager, Certified Public Accountant, FS Attestation, KPMG AG Wirtschaftsprüfungsgesellschaft, Ulrich Schröer, Director, Compliance & Risk, Trade Republic Bank GmbH, Natascha Schum, LL.M., Associate, lindenpartners PartmbB, Fabian Schuster, Associate Director, Payment Transactions, Bundesverband deutscher Banken e. V., Dr Gabriel Trickes, Vice President, Legal and Compliance, Morgan Stanley Europe SE, Graham Ure, Partner, PricewaterhouseCoopers LLP (PwC), Kevin Vogt, Partner, Auditor, FSI Audit & Assurance, Deloitte GmbH, and Anna-Lara Weigert, Associate, Legal and Anti-Money Laundering, Bundesverband deutscher Banken e. V.

Daniel Bögeholz

Daniel Bögeholz is an associated partner at the law firm lindenpartners in Berlin. He has many years of experience advising institutions and banking associations on complex projects involving the implementation of financial market regulations. His work focuses on WpHG and GwG compliance, banking supervisory law and the digitalisation of business models.

Tomas Girardi

Tomas Girardi is a senior manager in the Centre of Competence Trading & Valuation at Deloitte. He has eight years of experience in conducting and managing audits of internationally active institutions in accordance with HGB and IFRS. He also has extensive experience in designing accounting processes for institutions and regulatory requirements in connection with trading and crypto custody business activities. He is also responsible for auditing various financial institutions and companies in the crypto environment.

Tatjana Graf

Tatjana Graf has been working at BaFin in the securities supervision department since 2017. She works as a consultant in market surveillance. Ms Graf is a business economist and studied at the German Federal Bank University in Hachenburg and the Goethe Business School in Frankfurt.

Jens Hahn

Jens Hahn is a partner at KPMG AG in Frankfurt am Main in the Financial Services Attestation division. He has many years of experience in WpHG and custody account auditing as well as in auditing annual and consolidated financial statements of banks and securities service providers. At KPMG, he is responsible for the ‘Center of Competence WpHG’ and is a member of the IDW expert committee ‘WpHG’.

Frank Mehlhorn

Frank Mehlhorn is responsible for the Dialogue Strengths initiative at the Banking Association. His areas of expertise include outsourcing & third-party risk management, operational risk & operational resilience, and digital banking. Mr Mehlhorn previously worked for PwC Financial Services Advisory, IBM and Commerzbank AG.

Leo Müller

Leo Müller is a consultant for the Capital Markets Working Group at the Banking Association. His areas of expertise include securities compliance, transaction reporting, market structures and accessibility (BFSG).

Rukshan Permal

Ruk Permal is co-head of Market Abuse and Surveillance at PwC and a global expert on these topics. He has advised clients ranging from global investment banks to asset managers on compliance with the UK and EU Market Abuse Regulation (MAR) and other global regulatory standards relating to market abuse.

Hartmut Renz

Hartmut T. Renz is a partner in Regulatory, Risk & Compliance Advisory at the strategic management consultancy STRATECO GmbH. He has over 20 years of in-house experience in senior global regulatory and (chief) compliance officer roles, notably at Citigroup, LBBW, Helaba and DZ BANK. He is also a lecturer at the Frankfurt School of Finance and Management, the University of Zurich, the University of Liechtenstein and was a lecturer at the University of St. Gallen.

Uwe Schöpp

Uwe Schöpp is a senior manager at KPMG AG in Frankfurt am Main in the Financial Service Attestation division. He has many years of experience in auditing annual and consolidated financial statements of banks and investment service providers, as well as in the area of WpHG auditing. His focus is on developing the audit approach, particularly in the areas of ESG and algorithmic trading.

Ulrich Schröer

RA Ulrich Schröer has been Director of Compliance & Risk at Trade Republic Bank in Berlin since 2021. He has over two decades of experience in banking, including more than 13 years in senior roles in risk management/compliance, as Chief Compliance Officer and Group MLRO at major international banks such as HSBC and the BNP Paribas Group. He also spent many years as a lecturer at the Frankfurt School of Finance and Management, co-editor of compliance journals and compendiums, author of numerous specialist articles, and member of the BdB's compliance and money laundering working groups.

Natascha Schum

Natascha Schum is an associate at the law firm lindenpartners in Berlin. She advises companies on data protection, IT law and regulatory issues with a particular focus on compliance in the digital financial sector. One focus of her work is on the legally compliant design of innovative business models for financial service providers and on supporting institutions in disputes with the German Federal Financial Supervisory Authority (BaFin).

Fabian Schuster

Fabian Schuster is Associate Director at the Association of German Banks, where he focuses on payment transactions and retail banking. Since 2021, he has been closely involved in the implementation of the Accessibility Enhancement Act in banks.

Dr. Gabriel Trickes

Dr Gabriel Trickes is Vice President at Morgan Stanley Europe SE in the Compliance department. He has many years of experience in securities compliance, with a particular focus on investment banking, cross-border activities and branch governance. Mr Trickes previously worked at Berenberg.

Graham Ure

Graham Ure has extensive experience in helping clients respond to market abuse issues and has led investigations and major programmes to transform surveillance over the past 15 years. He is co-head of PwC's Market Abuse and Surveillance practice and focuses on optimising and implementing surveillance technologies.

Kevin Vogt

Kevin Vogt is a partner and head of the Centre of Competence Trading & Valuation at Deloitte. He has more than 12 years of professional experience in auditing and advising multinational (investment) banks in accordance with HGB and IFRS, with a focus on the trading activities of these institutions. Mr Vogt has in-depth knowledge of the accounting treatment of complex financial instruments, hedge accounting and the regulation and accounting of crypto assets. He is also responsible for auditing various financial institutions and companies in the crypto environment.

Anna-Lara Weigert

Anna-Lara Weigert is a corporate lawyer with a master's degree in European business law with a focus on digital topics from Bocconi University, Milan. At the Association of German Banks, she is responsible for legal support in the areas of crypto and digitalisation, including artificial intelligence.

You will receive a detailed certificate of attendance for your participation.

Language: Please note, conference language is German.