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.

This year’s event will focus on the following topics:

• Overview of Current Legal Developments | Jan-Teja Kraft, Associate Director, Clients and Markets, and Martin Pietzner, Associate Director, Clients and Markets, both of the Association of German Banks
• Market Integrity—Current Developments/Key Issues | Benjamin Baumann and Anke Kausemann, both of Division WA 23 - MiCA Division, Securities Supervision / Asset Management Department, Federal Financial Supervisory Authority (Bafin)
• Experiences/Findings from the 2025 WpHG Audit | Jens Hahn, Partner, and Uwe Schöpp, Senior Manager, both Certified Public Accountants, Financial Services Attestation, KPMG AG Wirtschaftsprüfungsgesellschaft
• Retirement Savings Account | Anna Katharina Blum, Senior Legal Counsel, ING-DiBa AG
• Regulatory Developments in ESG—An Update | Torsten Jäger, Director, Head of Sustainable Finance, Association of German Banks
• Best Execution 2.0: New RTS and New Regulatory Expectations | Dr. Claudio Müssig, In-House Counsel/Attorney, Deutsche Bank AG, Christian Weiler, Senior Manager, PwC
• Consumer Protection as a New Compliance Focus | Ulf Heppekausen, Partner, Clouth & Partner
• Shaping the Compliance Function in the Age of AI | Vishwas Khanna, Partner, Avantage Reply
• Crypto Assets and Stablecoins, MiCAR, and Crypto Custody: New Obligations, New Risks, New Control Requirements for Compliance Functions | Dr. Dr. Johannes Blassl, Attorney at Law, Partner, HEUKING

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

Language: Please note, conference language is German.

Speakers:
Benjamin Baumann is an advisor at Bafin, where he is responsible for market abuse issues under the Market Abuse Regulation (MAR) as well as regulatory matters related to MiCA. He also represents Bafin in several ESMA working groups. Previously, he headed capital markets compliance at Commerzbank and worked as an attorney at KPMG for eight years. His expertise encompasses the intersections of capital markets law, compliance, and supervisory practice.

Anna Katharina Blum is a Senior Legal Counsel in the Legal Department of ING-DiBa and has served as in-house counsel since April 2023. Previously, she worked at Commerzbank (in Collateral Management) and at ODDO BHF (Legal Credit and Legal Department). In addition, she is active in several working groups of the German Banking Association, including those focused on securities transactions, customer communication, and private retirement planning.

Jens Hahn is a partner at KPMG 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’.

Dr. Ulf Heppekausen, attorney at law at CLOUTH & PARTNER, worked for many years as a legal advisor at WestLB in Düsseldorf and Sal. Oppenheim in Cologne before setting up his own practice in Frankfurt am Main in 2011.

Torsten Jäger is responsible for sustainable finance at the Federal Association of German Banks. Together with his team, he focuses in particular on monitoring European and national regulatory initiatives in the ESG sector and maintains regular contact with the relevant EU institutions and supervisory authorities. He has been dealing with regulatory issues for over 20 years and previously worked for the management consulting firm zeb, DZ BANK in London, and Berliner Volksbank.

Anke Kausemann has been working in the Market Abuse Division at Bafin for more than 20 years and focuses primarily on analyzing trading data for financial instruments and other information to identify potential cases of insider trading or market manipulation. She also engages in regulatory dialogue with financial institutions regarding suspicious activity reports under Article 16 of the Market Abuse Regulation (MAR) and their systems for detecting market abuse. Before joining Bafin, she worked for HypoVereinsbank for 10 years.

Jan-Teja Kraft is an Associate Director at the Federal Association of German Banks in the Capital Markets Working Group. He focuses on capital markets law and regulation, as well as financial market policy at the national, European, and international levels—with an emphasis on various investor protection issues. He is a trained banker and holds a degree in business administration, and has several years of experience as a consultant in private banking.

Dr. Claudio Müssig holds a doctorate in law and has been working as in-house counsel at Deutsche Bank AG for over ten years. As an expert in banking and capital markets law, he focuses in particular on the investment and insurance businesses, regulatory issues, and the legal structuring of digital financial services. Prior to joining the company, he practiced law at a renowned law firm specializing in banking litigation.

Martin Pietzner is an Associate Director at the Federal Association of German Banks in the Capital Markets Working Group. He focuses on capital markets law, financial market regulation, and financial market policy issues at the national and European levels. His work centers in particular on investor protection. At the Association, he is responsible for the policy oversight and technical implementation of the Retail Investment Strategy. Prior to that, he worked for many years as a consultant in Deutsche Bank’s private banking division.

Uwe Schöpp is a senior manager at KPMG 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.

Christian Weiler is a Senior Manager in the Financial Services Compliance team at PwC in Frankfurt am Main and has 15 years of experience in the field of compliance. At PwC, he leads compliance consulting projects and serves as the operational manager for securities account and WpHG audits. Before joining PwC in 2011, he worked for four years at BaFin’s Securities Supervision Division, overseeing savings banks and state banks. He began his career as a bank clerk in the cooperative sector.