Investigations Roundtable - London (clone) | NAVEX Global

Whistleblowing Investigations: Where does it go wrong?

A free NAVEX Global Ethics and Compliance Roundtable for Senior Professionals

April 10th, Prince Philip House, London, 9.30am -12.15pm
Lunch and Optional Workshop 12.15pm – 1.30pm

Join Paul Moore, former Head of Group Regulatory Risk for HBOS, to hear how he hit the headlines when his evidence to the Treasury Select Committee led directly to his dismissal. Paul will share his experience of speaking-up, being labelled a whistleblower and the ‘flawed’ investigations process that thrust him into the public domain. He will also speak about the consequences to his career as well as the repercussions for HBOS and its board of directors.

Attend this roundtable to learn the latest best practices for conducting whistleblower investigations effectively. Hear how organisations are improving their investigations management process, how to keep investigations confidential, how to put data privacy at the forefront and how to handle sensitive workplace issues such as harassment allegations.

A panel of senior ethics, compliance and investigations experts will discuss how to develop an effective whistleblower investigations process and protect your employees, and your organisation’s reputation, from a compliance crisis.

Identify the warning signs when the investigations process can go wrong
Learn best practices on data privacy and keeping investigations confidential
Get the latest update on the UK Parliamentary debate on whistleblowing
Learn how to manage sensitive allegations appropriately
Find out how managing incidents effectively can improve organisational culture

Attend this roundtable to network with industry experts, share your own experiences and gain practical advice from your peers on how their compliance programme is built to overcome these issues.

9:00 – 9:30am: Registration, Refreshments & Networking

9:30 – 9:45am: Welcome & Introduction
Richard Young, Freelance Writer & Editor

How you investigate reports of workplace misconduct will play a crucial role in the success of any compliance programme. Whether working with internal or external investigations teams, an effective investigations strategy is crucial to protecting employee anonymity and to mitigate the potential for retaliation and its impact on workplace culture.

9:45 – 10:45am: Keynote Speaker ‘Blowing the Whistle on Investigations’
Paul Moore, former Head of Group Regulatory Risk for HBOS

Paul has seen close up the bad practices which brought down one of the UK’s biggest banks, and how a dangerous attitude to risk in some areas infected the whole organisation. He continues to fight for better treatment for whistleblowers and for best practices within internal and external investigations. Paul will provide his insight on what he would have done differently, his view on improving internal controls to better manage business risk and how the investigations process can impact both the people involved and the organisation, its culture and reputation.

10:45 – 11:15am: Coffee Break

11:15 – 12:15pm: Panel Session 'Whistleblower Investigations Best Practices' - Chaired by Richard Young
Confirmed Panelists: Kirstie Stephens, Ethics & ABC Compliance Counsel at Rolls Royce / Ed Mills, Head of Employment at Travers Smith LLP / Andy Watson, Global Head of Anti-Corruption Response at Oxfam

Richard Young will moderate a panel session with guest speakers from the UK legal and compliance community. Join our panelists for an informative open discussion on best practices and real-world strategies and techniques on managing internal investigations and resolving whistleblower reports. Includes audience Q&A.

12:15 – 1:00pm: Light Lunch & Networking

12:45 – 1:30pm: Optional Workshop - New Topic! 'Investigations and Interviewing Tactics'

Come and join us downstairs for an informal workshop with Travers Smith LLP where we will walk you through a typical investigation process. We'll be asking questions on what are the best tactics and approaches to use to ensure an effective investigation. We’ll be discussing topics such as; preliminary investigation considerations, interviewing techniques and reporting the investigation.

Paul Moore
Former Head of Group Regulatory Risk, HBOS

Paul Moore is the former Head of Group Regulatory Risk for HBOS. He hit the headlines when his evidence to a Treasury Select Committee revealed how his appeals to his employers that excessive risks were being taken in the company lead directly to his dismissal.

Having qualified as a barrister, Paul made the switch to banking, specialising in financial risk and regulation. After almost three decades in The City, including seven years as a partner at KPMG, Paul moved to the Halifax Bank of Scotland group.

After three years with the bank, Paul was dismissed after bringing the board’s attention to what he saw as a dangerously relaxed view of investment risk. His subsequent treatment, the implications for senior figures within the business as well as the solvency of the company is now something that he continues to campaign about.

Ed Mills
Partner, Employment Law, Travers Smith

Ed is a partner and Head of the Employment Department at Travers Smith. His practice covers the full range of contentious and non-contentious employment law issues as well as business immigration. Ed and his team have significant experience of advising on and conducting complex investigations, often involving whistleblowing disclosures and cross-border issues. Ed also represents the Employment Department in the firm's cross-practice Investigations Group.

Ed regularly runs training sessions for HR and in-house legal teams as well as his client's line managers on a wide variety of employment law and business immigration topics. He is a member of the Employment Lawyers Association (ELA), the European Employment Lawyers Association (EELA), the International Bar Association (IBA) and the American Bar Association (ABA).

Kirstie Stephens

Ethics and ABC Compliance Counsel, Rolls Royce

Kirstie Stephens is an Ethics and ABC Compliance Counsel within the Ethics and Compliance Team at Rolls-Royce plc. Kirstie has been with Rolls-Royce for 3 and a half years. Prior to this Kirstie worked as an insolvency solicitor, specialising in contentious matters, at a national law firm.

Kirstie’s current, main responsibilities include overseeing and managing concerns raised to the Rolls-Royce whistleblowing hotline (Ethics Line); designing, developing and deploying reporting (both internal and external) on Rolls-Royce's speak up statistics; reviewing and updating their suite of Anti-Bribery and Corruption Policies; and providing advice, guidance and support on Ethics and Anti-Bribery and Corruption matters

Richard Young
Freelance Writer, Editor, Trainer and Presenter

Richard Young has been writing about business for 20 years. He spent eight years producing magazines on financial management, first as editor of Financial Director, then of Real Finance. Since 2006 he’s been freelance, working with organisations such as Microsoft, the ICAEW, the MRS, KPMG, MetLife, the Mayor of London, Tata Group, Sage, Advent International and the European Patent Office – as well as writing for media outlets including Real Deals, CFO World, Impact, Financial Management and Economia. He is also part-time consulting editor for agency, Progressive Content, chairs conferences and events, advises on communications strategy and runs a one day workshop for executives on Better Business Writing.

Prince Philip House

3 Carlton House Terrace
London
SW1Y 5DG

How to Get There

Located less than 10 minutes’ walk from Charing Cross station and Piccadilly Circus tube, Prince Philip House is within easy reach and at the heart of Central London in prestigious St James. If you have any problems on the day please call Ian Painter on: 07771 594450.

Tubes & Trains

Nearest underground stations are Charing Cross station (Bakerloo and Northern Lines), Piccadilly Circus station (Piccadilly Line) and St James’s station (District Line). You can find full transport information on the Transport for London website.

Disabled Access

The Prince Philip House is committed to making your visit as easy and enjoyable as possible. There is a lift at the front entrance to take disabled visitors from Carlton House Terrace Street to the reception area.

Learn from subject matter experts	Networking & audience Q&A	Practical advice from compliance officers