The Ethics of Employee Surveillance

Debate coming up at this year’s XLoD Global Conference:

  • Is the impact of privacy regulation inconsistent with employee surveillance?
  • How much oversight do Supervisors in the business require of their employees personal conduct?
  • To what extent should firms look at individuals’ behaviour outside their organisation?
  • Without assessing personal and financial and data of employees, are banks missing key conduct and reputational risk indicators?

Moderator: Simon Hargreaves, Former Head of Secondary Market Oversight, FCA

Panellists: Robert Hammond, Managing Director, Global Head of Markets and Wholesale Banking Surveillance, HSBC

Miki Mellegard, Head of Surveillance UK & EMEA and Global Product Head for Fixed Income, FX and Listed Derivatives, Deutsche Bank

Ruth Steinholtz, Managing Partner, AretéWork

View the full conference agenda | View institutions attending

More about the event

XLoD Global is a new, digital event. It will be the first event ever to bring together all 3 lines of defence globally. Leading practitioners and regulators from EMEA, APAC and North America will convene to share best practice and discuss the future of control functions across the 3 lines of defence.

Over three days and 75 sessions XLoD Global features more than 150 MD level practitioner speakers from banks, asset managers and regulators. There will also be considerable opportunity for virtual networking.  

If you work in risk and control do not miss thisunprecedented opportunity to increase your knowledge and network with your peers globally.

#CultureandConduct 2020

Final logo with strapline

A timely flashback to some earlier culture and conduct reading & resources… as City & Financial prepare for this year’s #CultureandConduct conference.

For 2020 they’re lining up a who’s who of speakers, including Dr Ian Peters MBE from the Institute of Business Ethics, Jonathan Davidson from the Financial Conduct Authority and Alison Cottrell from the Banking Standards Board.

Key themes in the #CultureandConduct programme:

  • The challenges and opportunities arising from ‘the new normal’ and remote working in relation to Culture and Conduct
  • The role of purpose in driving safe and sustainable cultures
  • The role and skills required of leaders in developing and sustaining a healthy culture in the post-COVID world
  • Effective whistle blower protections and fostering psychological safety through a “speak up, listen up” culture
  • What will it take to achieve racial diversity in the financial services industry?
  • The view from the US
  • Conduct and culture in practice – latest observations and insights
  • Mental health and wellbeing in ‘the new normal’ world
  • Adapting to remote governance and controls: effective management and maintaining relationships in a distributed world
  • Recognition and incentives in promoting healthy cultures
  • Measuring corporate culture: from sensible metrics to meaningful insights

Learn more and sign up.

Navigate the Ethics challenges of a Remote Workforce

The SCCE is putting on a half-day online and interactive conference focused on the challenges of remote working.
Attendees will have the opportunity to earn live Compliance Certification Board (CCB)® continuing education units (CEUs). Learn More

BONUS! Live conference attendees will have free access to the session recordings for 30 days after the conference.

Here’s the session I’ll be running – I hope to see you there sign up today:

Recognizing and Managing the Effects on Your Organization’s Culture in a “Hybrid” Work Environment

  • Values are critical in maintaining resilience and skillful decision-making in a world where some workers are in the office full time, others part time, and still others not at all.
  • The increased relevance of culture measurement: What is the equivalent of the canary in the coal mine for your company?
  • From performance to people: COVID-19 has begun to realign societal values. What does this mean for the culture of your company?

Can ‘10% more ethical’ be extrapolated?

More facts and the full report:

Key quote on ethical decision making

“It is only right to examine how ethical-decision making benefits society. It is not surprising that some of the benefits are demonstrable in economic terms. As a result, purposeful investment to build ethical infrastructure makes sense for our societies and our economies. As we strive to prosper within planetary boundaries and achieve truly inclusive societies, there is urgency to build trust and the capacity navigate these complex challenges. The practical initiatives proposed in this report provide a blueprint for building the ethical infrastructure we need. The recommendations are farsighted in their aims, and their systematic pursuit cannot start soon enough.”

Nathan Fabian (@nathanfabian)
Chief Responsible Investment Officer, Principles for Responsible Investment and Chair, European Platform for Sustainable Finance

2020 Nordic Business Ethics Survey

Nordic Business Ethics Network (NBEN) is a professional network for people who share a mission to promote responsible corporate conduct, business integrity, and responsible leadership.

700 people registered for their recent live-streamed release event – you can now, as I have, download the full 2020 Nordic Business Ethics survey report. It is full of useful insights.

Key take-away? Ethical business practice is rewarding,

Yet some people are still to be convinced. Plenty of scope for more work around culture and values across the Nordics.

Also, there’s a replay of the presentation and panel discussion from the event.

What levers do governments have to change the organisational culture of international companies?

Key take-aways from the recent #BetterRegulation conference organised by FIPRA and the European Justice Forum. The conference also marked the launch of a Brussels and EU chapter for the International Network for the Delivery of Regulation.

“The basic idea is to say let’s regulate through ethical culture, rather than through deterrence. Let’s have a problem-solving approach, rather than the linear approach of identifying breaches.”

“When you have a business and regulator committed to ethical business practices, the relationship between the two is ethical business regulation. Then, we need lots of regulators and businesses involved to maximize effectiveness.”

Professor Christopher Hodges, University of Oxford.

“We need to be able to regulate the future, not just today. Our approach is based on organizational performance and not just reactions to business risks. We design oversight relative to companies’ performance in managing risks. In this way, we support delivery of best regulation principles.”

Ben Alcott, International Director at the UK Civil Aviation Authority

“We have to make sure that evaluations, impact assessments and the regulations themselves are proportionate. For me, the most important thing is that we have clarity and narrative so that we can communicate to citizens what we want to do and why.”

“Ultimately, better regulation is not a technical debate — it’s about culture, ethics and values.”

Veronica Gaffey, Chair of the Regulatory Scrutiny Board (RSB) at the European Commission.

“…integrating culture, ethics and trust issues into decision making, we empower local regulators to adjust to local realities.” 

Robert Madelin, Chairman & Chief Strategist, FIPRA International

Further proceedings are available from FIPRA.

Anti-Corruption Compliance Drivers, Mechanisms, and Ideas for Change

In case you missed today’s OECD webinar on what really motivates anti-corruption compliance – then here’s the replay:

Find more about the speakers, report download and lots more resources on the OECD website here:

AretéWork is a Knowledge Partner for OECD Integrity.

Shinsu University White Collar Crime Workshop

Coming up on Friday 20 November 2020 – we hope to see you at this event organised by Daisuke Fukamizu, partner at Nagashima Ohno & Tsunematsu and associate research professor at Shinsu University. The full-day programme includes this roundtable:

Corporate Culture & Corporate Crimes

Roundtable Moderator

Thomas Miles (University of Chicago)


Tatsuhiko Inatani (Kyoto University)
Kentaro Asai (Australian National University)
Ruth Steinholtz (AretéWork)
Alexander Baur (University of Hamburg)
Brigida Benitez (Steptoe & Johnson)

Space is limited and advance registration is required via:

Full workshop programme


At a FIPRA event last year, much attention was devoted to Ethical Business Practice and Regulation. Building on the positive response both to the event and in subsequent work, in Europe and around the world, FIPRA wants to build on those foundations. This year’s FIPRA and European Justice Forum joint conference will mark the launch of a Brussels and EU chapter for the International Network for the Delivery of Regulation.

The aim both on the day and beyond will be to contribute fresh thinking on how regulators can better reconcile their mission and vision in their day-to-day work.

And on how novel tools and methods can achieve society’s regulatory goals more effectively and at lower costs all round.

Please join us, as we use the conversations on the day to identify together those sectors and issues on the EU agenda which can most evidently benefit from the specific techniques and affordances of Ethical Business Practice and Regulation. Beyond this, we would want to understand sector by sector how far the tool-box needs customisation in order to be fit for purpose.

Ultimately, we believe it is possible for Europe to be a global leader in the design and construction of a future-proof on-line system of governance for the 21st Century.

The conference will have three focal themes:

  • Why do we need a different approach to regulation?
  • How can we regulate the digital space?
  • What role can play the use of data in regulation and performance?

Place: Virtual conference
Time: 22nd September 2020, between 09:15 and 11:15

Participants: #60-80

Help spread the word

And hope to see you there. Sign up today.