Compliance Institute 2023 Events

Recordings and Slides are available to members in our Library section 




November 2023 Events

Cyber Security - Market Insights and Emerging Threats


Henry Duggan, Financial Services & Corporate Investigations, Ankura, 

Ahsan Qureshi, Cyber Risk Advisory Lead, Ankura, 


Steve Sandford, Cyber Incident Response Lead, Ankura


Gerard Harney, Cyber Security at Ankura 


Ethical Leadership


How to improve ethical behaviour in financial services companies


How to perform an ethics review




Compliance Institute Annual Conference 'Empowering Accountability




October 2023 Events

Black History Month Celebration: Inspiring Future Compliance Professionals  


Claudette Whyte, Senior Financial Crime Compliance Officer & Chair of the Diversity & Inclusion Committee


Kathy Jacobs, Director Consultant, Regionvale Risk and Compliance and former President of Compliance Institute


Enoch Adeyemi FCCA, Founder & CEO, Black Professionals Scotland


Nikitta Foston, Senior speechwriter at the American Medical Association

Handling Data Breaches  


Sandra Healy, CEO and founder of inclusio, the scientific Diversity and Culture software platform. 



Aisling Hennessy, Law Lecturer, SETU




IFCA Congress - Connecting Compliance Globally 


Compliance Institute had 9 speakers who participated in panel discussions and contributed to this year’s Congress.




Building Workplaces where People want to Work 


Sandra Healy, CEO and founder of inclusio, the scientific Diversity and Culture software platform. 




Introduction to Project Management






The Importance of organisational security in preventing Data Breaches


Aisling Hennessy, Law Lecturer, SETU




Subject Access Requests (Online)


Aisling Hennessy, Law Lecturer, SETU




September 2023 Events

Compliance Professionals - Are you ready to innovate? (Hybrid)




SFDR and its impact on Pension Schemes (Online)


Brian Macdonald, ACII, Director of Operations, Newcourt Retirement Fund Managers Limited, Chair of Compliance Institute's Pensions Working Group


Stephen Gillick, Partner & Head of Pensions, Mason Hayes & Curran LLP


Can innovative technology enhance and streamline your KYC program? (Online)


Patrick Ryan, Non-Executive Director, valid8Me


Michelle McGuire, Head of Risk Compliance, valid8Me


Paul Moore, Marketing Manager, valid8Me


August 2023 Events

Ethics in Actions (Online)


Susan Naughton, Senior Compliance Officer at AXA, Member of Compliance Institute's Ethics Committee


Mary Noonan, Director, Legal & Business Affairs, Member of Compliance Institute's Ethics Committee.


André Miniussi, Group Ethics and Compliance Executive at Mainstream Renewable Power, Member of Compliance Institute's Ethics Committee.


July 2023 Events

Effective MLRO Reporting: The Business Risk Assessment & Annual MLRO report (Online)




This session will provide MLRO’s and Compliance Officers with critical points to consider in designing and implementing an effective AML Business Risk Assessment and the key components to include in the Annual MLRO Report, aligned with regulator expectations.


Human trafficking, modern slavery and financial institutions (Online)




As gatekeepers to the financial system, financial institutions play an important role in the prevention and detection of human trafficking and modern slavery, and yet many institutions are ill-equipped to manage this urgent and increasing area of risk.


In this webinar, we will explore what firms can do to enhance their systems and controls to identify potential human trafficking and modern slavery red flags during customer interactions, and how to spot the hallmarks of laundering the proceeds of this crime through transaction reviews – including practical examples and case studies drawn from our experience conducting financial crime reviews and investigations. We will also consider the interlink between modern slavery and human trafficking and the increasing ways in which criminal actors seek to exploit vulnerable customers outside of their immediate control for the purposes of money laundering or fraud.

June 2023 Events

What does ESG mean to Compliance Professionals? (Free/Hybrid)




ESG is on a pathway from voluntary frameworks and a nice-to-have approach for companies to being regulated on the EU and national level and embedded into operations. As a result, Compliance Professionals will increasingly see ESG popping into their work, so are you ready for the challenge?

To learn more about the important aspects of ESG and how they will impact the work of Compliance Professionals, KPMG’s team, led by Barry McGrath, Anikó Kraft, and David Barker invite you to attend a one-hour session at KPMG’s Innovation Hub, Platform X, (2 Harbourmaster, IFSC, Dublin1) on Wednesday 28th June. They will provide a high-level overview of regulations, give specific information about what they mean for Compliance Professionals and offer case studies as examples of good practice. 

Operational Resilience – New Rules and Practical Steps towards Compliance (Online) 




Operational resilience has attracted considerable regulatory scrutiny in recent years primarily in response to increasing reliance by many organisations on new technologies and digital ways of working and the heightened operational risk that this presents.  This has resulted in new and emerging rules around operational resilience such as the CBI Operational Resilience Guidance and DORA.  But what exactly is operational resilience and what practical steps can organisations take to comply with these new rules?


In this event, we will outline the general themes and scope of the new rules around operational resilience and some practical steps organisations can take to help comply with these rules.

Investigations: Some Practical Insights (Online)   



The presentation provides participants with some practical insights into the investigative process. It introduces participants to best practice around evidence handling and investigative interviewing. It addresses reporting issues when dealing with regulators and law enforcement. The presentation also focuses on best practice around the drafting and sharing of investigation reports. Finally, the presentation brings the participants through an investigations case study from start to finish highlighting the practical tips that help preserve the integrity of the investigative process.

Pride at Work (Online)   



Why Pride in the workplace is important – i.e. draw backs of not being out/comfortable in the workplace in terms of attrition and lost productivity

Being transgender in the workplace - how can and should companies support people?

ESG: SFDR in action (Online)




A presentation on the application of SFDR to Irish financial service providers and financial products, including Central Bank expectations and on expected regulatory developments.

Key Principals in Building Operational Resilience (Hybrid)




The Cross Industry Guidance on Operational Resilience has 15 Guidelines across 3 Pillars 

Identify & Prepare

Respond & Adapt

Recover & Learn 

From a business operations perspective there are 5 key pillars within DORA 


ICT Incident Mgt, Classification & Reporting

Digital Operational Resilience Testing

Managing ICT Third-Party Risk

Info Sharing

May 2023 Events

Sustainability Reporting and Due Diligence - A legislative update (Online)




The session will provide a legislative update focusing on sustainability reporting obligations as well as considering the EU's sustainability due diligence proposals and other ESG related developments including the Gender Diversity on Boards Directive and the Green Claims proposal.

European Anti-Financial Crime Summit (In-Person)




Compliance Institute is delighted to be supporting The European Anti-Financial Crime Summit on May 25th! This in-person event takes place at the Royal Dublin Society and will feature regulators, policymakers, industry leaders and law enforcement chiefs. This summit is not to be missed and early booking is advised.


The summit’s Opening Address will be delivered by Eurogroup President Paschal Donohoe TD, Minister for Public Expenditure, Ireland.


Compliance Institute CEO, Michael Kavanagh, Siobhan Ivers, Director of Global Compliance Etsy, Chair of Compliance Institute's Fintech and Payments Working Group and Jason Palmer, Head of Financial Crime and MLRO, Pepper Financial Services Group and member of Compliance Institute Membership Committee will also join an exciting lineup of speakers on the day.

Irish Data Protection Developments on the GDPR's 5th Anniversary (Online)




This webinar will give participants an update on the key decisions of the Data Protection Commission (DPC) and Irish data protection litigation over the last year including the DPC's WhatsApp, Facebook and Instagram decisions on legal basis and transparency, DPC decisions in relation to personal data breaches and the European Data Protection Board's much anticipated binding decision on Meta data transfers to the US (expected 14 April 2023).  

Markets in Crypto-Assets (MiCA) Regulation (Online)




The focus of this webinar will be the Markets in Crypto-Assets (MiCA) Regulation and will provide an introduction to the legislation that is designed to regulate the cryptocurrency market in Europe.


During this session, our speakers will discuss:


some of the key elements of MiCA;

the impact the regime will have on market participants;

what cryptocurrencies are in scope;

the applicable regulatory obligations; and

the impact the changes will have on stablecoin issuers and cryptocurrency service providers.

ESG - An opportunity for Ethical Leadership (Online/Free to Members)



ESG is a complex umbrella of impact, dependencies and governance.


It is also about Ethics, culture and leadership.


In this webinar we hope to explore ownership and accountability of ESG through an ethical lens to understand how it can benefit all stakeholders and enhance business culture.

Watchlist Data & Screening Trends (Online)



  • What is watchlist data
  • Segments and scope of watchlist categories
  • Why we need watchlist data in AML processes
  • When in the AML process do we conduct screening
  • Recent watchlist screening trends (geopolitical influence on watchlist screening, evolution of technology post covid and in inflation times)
  • Regulatory demand (regulatory storm and differences between US, UK and EU sanctions regimes)
  • How is market responding to recent needs – where do vendors stop and compliance investigators begins 

Spotlight on Governance (In-Person)



Join us for an exclusive breakfast event at the historic Irish Stock Exchange trading floor in the Euronext building. Grainne O'Farrelly, Managing Director in Kroll's Financial Services Compliance and Regulation practice, and Michael Kavanagh, CEO of the Compliance Institute, will host a panel of experts to discuss the Regulator's focus on governance responsibilities and who, amongst the C-suite, is responsible for ensuring boards have addressed the following topics to the satisfaction of stakeholders:

·       Environment, social governance (ESG)

·       Anti-money laundering

·       Individual accountability framework/SEAR

April 2023 Events

Implementation of an Effective ESG Agenda (Online)



Introduction to ESG: This will include a brief 5 minute introduction to ESG and why it is important. This will cover the increasing scope of ESG regulations and how over the coming years, more and more Firms will fall into scope to comply with newly introduced regulations. The section will also note that even Firms that are not obliged, their own Customers may introduce ESG requirements and therefore it is important for all Firms to consider ESG.


Key Takeaways

Getting ESG right is complicated, and the regulatory landscape is continuously evolving. Sustainable businesses are more efficient by reducing operating costs and lowering staff turnover and often, more attractive to investors and employees, particularly Millennials and Gen-Z. The best businesses engage, inform, and improve outcomes for themselves, their industry, and their customers.

Compliance Showcase (In-Person)



We are delighted to announce, that Compliance Institute will be attending and speaking at the South East Financial Services Cluster Compliance Showcase in Waterford on Wednesday, 19th April! We will be contributing to a discussion which focuses on the importance of risk and compliance in underpinning the South East’s ability to attract new investment.

The Importance of Risk & Compliance in Irish Financial Services

Panel Discussion with Senior Risk & Compliance Officers from the SE.

Preparing for a Central Bank Inspection (Online)



- Overview of a typical Central Bank of Ireland (CBI) inspection lifecycle

- Key actions your Firm can take in preparation for an inspection and why

- How to constructively engage with the CBI throughout the engagement

- Key considerations when developing your risk mitigation programme action plan, including:

  • Governance and oversight
  • Programme management
  • On-going CBI communication

March 2023 Events

The ABC's of Planning for IAF (Online)


As the finalisation of IAF looms overhead, forward-thinking compliance professionals are looking for ways to prepare for what’s to come.

They’re looking for a plan of action that will set them on a path to the successful adoption of IAF and ensure they have the right internal infrastructures in place to support this new regulation.  


On Thursday, 30th March at 11:00 StarCompliance are having a sit-down with Mazars IAF lead, and Compliance Institute member, Kian Caulwell, for insights, advice, and best practices on how to effectively plan for IAF so you’re ready when the time comes.  

The Ever Changing AML Landscape (Online)


On Thursday 23rd March at 1pm, Joe Beashel, Partner, Regulatory Risk Management and Louise Dobbyn, Partner, Financial Institutions Group at Matheson will discuss recent developments in Anti-Money Laundering (AML) and Counter Terrorist Financing (CFT), including:


  • The significant impact of the financial sanctions imposed on Russia in response to the Russian invasion of Ukraine;
  • An update on the legislative proposals under the European Commission's AML Action Plan; and
  • The impact of the recent European Court of Justice decision on the Register of Beneficial Ownership.

How to improve Ethical Behaviours and Culture in Financial Services Firms (Online)




Ciaran Walker, Consultant, Eversheds Sutherland, will discuss the topic of how to improve ethical behaviours and culture in financial services firms. His talk will cover issues such as the importance of understanding what motivates individuals to act (un)ethically; the importance of ethical identity; the challenges, within financial services firms, of acting ethically and how these might be addressed. His talk will develop some of the themes outlined in his co-authored 2022 book “New Accountability in Financial Services: Changing Individual Behaviour and Culture”.

International Women's Day - #EmbraceEquity (Online)




In recognition of International Women’s Day 2023 the Compliance Institute’s Diversity & Inclusion Committee will celebrate #EmbraceEquity with a panel discussion centered around a gender equal world; a world free of bias, stereotypes, and discrimination, that is diverse, equitable, and inclusive and where difference is valued and celebrated.


The discussion will focus on:

  • How to advance gender equality in the workplace;
  • Educating and raising awareness for women's equality;
  • How to fuel a positive culture for women;
  • Building a sense of belonging;
  • The difference between equality and equity; and
  • What we all can do to eliminating discrimination.

Central Bank of Ireland: Client Asset Requirements Update on Revised Rules (Online)




The protection of client assets is a key priority for the Central Bank of Ireland (Central Bank). The Client Asset Specialist Team (CAST) has cross-sectoral ownership within the Central Bank for client asset risk. The primary role of CAST is to supervise and inspect client asset arrangements and monitor the risks to the safekeeping of client assets in relevant entities. 


In recent years, significant work has been undertaken by CAST in conjunction with policy colleagues to further strengthen and enhance the Irish client asset regime, including revising and updating the Central bank’s Client Asset Requirements (CAR) and associated guidance.


The topics discussed in this webinar will include the evolution of the Irish client asset regime, the principle of risk management including the new requirements in respect of the client asset management plan as contained in the revised CAR and an overview of the recently published revised Monthly Client Asset Report. 

February 2023 Events

Investments Firms Outlook 2023 (In-Person)




Leading experts will discuss the key regulatory themes that will shape the investments industry for the year ahead including areas such as IFD/IFR, SEAR, operational resilience, cyber security and technology risk, AML/CTF, ESG and sustainable finance. 

Take advantage of the opportunity to ask all your pressing questions to our thought leaders.


Individual Accountability Framework: Conduct Risk (Hybrid)



Conduct standards

Individual conduct standards and lessons from the Staley/Barclays Bank case in the UK.

Compliance statements and due diligence certification of employee/senior executive fitness and propriety.

The role of “out-of-office” conduct on a person’s fitness and propriety – drawing the line between conduct which is, and is not, relevant to regulatory performance of functions.

Managing legal professional privilege (“LPP”) pre-investigation/during investigation

Overview of LPP.

Distinction between (a) lawyers (LPP applies potentially) and other legal experts and compliance consultants/professionals (LPP does not apply).

How is LPP treated under the 2013 Bill?

What are the practical implications for document management/preservation pre-investigation and during an investigation?

The spectre of the private right of action against a firm

The customer right of action against a firm to recover loss caused by firm’s regulatory breach: s.44 Central Bank (Supervision and Enforcement) Act 2013.

Interplay with individual accountability regime under 2013 Bill – employee/senior executive not liable under s.44.

How to manage risks of conflicts of interest as between firm and employee/senior managers under the shadow of personal liability for s.44 damages.

Global Developments in Data Protection (Online)



Since the EU General Data Protection Regulation (GDPR) came into effect in 2018, data protection regimes have proliferated in different jurisdictions across the globe. This increasingly complex, and sometimes conflicting, patchwork of regional and national legislation and regulation creates challenges for firms operating across borders. Managing this complexity centrally and without specialist expertise in those jurisdictions can be particularly challenging. The continued flow of high profile enforcement cases reiterates the importance of effectively interpreting jurisdictional requirements for a firm’s reputation and financial outlook.  


This webinar will seek to give participants a download on the current status of data protection regimes in the Asian, European and American regions together with added insights on regulatory priorities and enforcement trends. Participants will also be advised of common blind spots, how to navigate contrasting requirements and pointers regarding upstream developments to be aware of.  

Jan 2023 Events 

World Data Protection Day 2023 (Online)



Join us in collaboration with IOB to celebrate World Data Protection Day and hear insights from Garrett O'Neil, Assistant Commissioner at the Data Protection Commission on topical issues in data protection and the DPC’s priorities for 2023.

Whistleblowing Directive (Online)



David McCauley, Associate, McCann FitzGerald LLP will discuss the changes to the Irish whistleblowing regime following the commencement of the Protected Disclosures Act 2022. The Act considerably expands the scope of protection for whistleblowers, as well as the matters which can form the basis of a protected disclosure and contains prescriptive obligations on those receiving disclosures to acknowledge, follow up and provide feedback on the disclosure. David will provide an overview of the new regime, the breadth of its scope, and the potential for internal and external reporting, having regard to recent case law, and common misconceptions about whistleblower protection in Ireland. David will also discuss the obligations arising on those in receipt of protected disclosures, the extent of the obligation to take appropriate action, and the need for a workplace policy to address these matters.


In addition to the legal framework, Jakob Lilholm, founder and Chief Executive Officer of Whistleblower Software ApS will provide an insight into how a practical whistleblowing channel works in real life. A digital whistleblowing platform will be presented by Whistleblower Software, showcasing a way how to easily manage incoming reports, and comply with the new requirements.



Obligations of the employer when establishing an internal reporting channel

Who can be a whistleblower? Can they be anonymous?

Protection of whistleblowers

Channels for reporting irregularities

Criminal responsibility of the employer

Useful tool - Whistleblower Software


Following the session, attendees can expect to have an understanding of:

The circumstances in which the obligations under the Act will apply;

The circumstances in which disclosures can be made externally, such as to a Minister, or the public at large;

The protection for the identity of those who make protected disclosures;

The obligation not to penalise those who make protected disclosures;

Certain legal remedies for those who make protected disclosures; and

Assignment of roles and responsibilities within an organisation when dealing with protected disclosures, and the expected content of workplace policies on this subject.

Financial Crime Prevention Update (Online)



Following the introduction by the Central Bank of Ireland of the new function PCF-52 (Head of Anti-Money Laundering and Counter-Terrorist Financing Compliance) now is the perfect time to upskill, to support your organisation and your own career development.


Join us to hear an update on topical issues in financial crime and learn more about the UCD accredited Professional Certificate in Financial Crime Prevention programme. 


Please click on the link below to register for this event.

This event will be held over Zoom. Please ensure you have access to Zoom in advance of the event taking place. Zoom is available on all PCs , laptops, tablets and Apple or Android devices.

Latest Insights from The Competition and Consumer Protection Commission (CCPC) - (In-Person)



Úna Butler, Member of the Competition and Consumer Protection Commission (CCPC), will provide our members with the latest insights from the Commission on a range of topics, including new legislation impacting both competition and consumer protection law. The presentation will be of particular relevance to the Compliance Professional and will be followed by a Q+A session.