CONNECT

Summit Architect &

Speaking Opportunities

Banking & Finance

Legal Summit 2013

Abidali Dossa
Abid@WitnessLive.in
09702849915
Gautham M Swamy
Gautham@WitnessLive.in
09916094991

25th June 2013 | Mumbai

Courtyard by Marriott

Neelima Maheshwari
Neelima@WitnessLive.in
08800841600

An Interactive and
engaging forum for
sharing of practical solutions for
professionals dealing with complex
legal and regulatory
framework for banking
and financial services

Sponsorship
Opportunities &
Delegate Registrations
Neelima Maheshwari
Neelima@WitnessLive.in
08800841600

BLOCK YOUR DIARY

Bhupinder Kaur
Bhupinder@WitnessLive.in
09654155065

Silver Partner

Strategic Alliances &

Partnerships
Akshay Alagh
Akshay@WitnessLive.in
09899332111, 09899332440

Lex Witness
B 1/6, Lower Ground Floor, Hauz Khas
New Delhi - 110016
T: 01143440000 F: 01143440099
info@witnesslive.in
www.witnesslive.in

WWW.BFLS.CO.IN

June

25
2013

Associate Partner

Supporting Partners

Online Media Partners

Kit Sponsor

Fraternity Partners

WWW.BFLS.CO.IN

MESSAGE

ABOUT
Highlights of the Summit:

Basel III, a set of reform measures for Banking and Financial Sectors to
strengthen the regulation, supervision and risk management. The objective is to
absorb shocks from financial and economic stress, improve risk management and
governance to strengthen banks' transparency and disclosures. Implementation of
Basel III, with enhanced level of dynamism, and complexity within global regulatory
landscape will likely add significant challenges for legal professionals from banking
and financial sector to reorganize legal strategies to improve performance with
reduced NPA and effective litigation management strategies.

Legal Implications of Basel III

SARFAESI ACT

Summit Concept
The Indian Banking and Financial
Institutions are reshaping themselves with
the implementation of Basel III regulations
according to the guidelines of RBI issued in
April. The industry survived the global
financial meltdown around the world
standing in cross roads with the pressure to
meet the capital requirement.
The changing stringent regulatory
requirements, issues of global money
laundering and Benami transactions,
increased frauds with advancement of
technology, pressure for NPA reduction and
recovery brings immense stress for Legal
professionals in Banking and Financial
institution especially while dealing with
sticky legal frameworks.
As legal service providers, solutions
providers and customers prepare
themselves for next set of business
opportunities: Lex Witness presents
Banking and Finance Legal Summit,
which takes place on 25th June 2013 in
Mumbai for an in-depth discussion and
knowledge sharing on vital aspects of
banking and financial industries.

Basel III

implementations
Decoding SARFAESI Act
Banking Fraud Laws
Legal issues of Money

Laundering & Benami

Transactions
Cyber Laws and IT Act as

applied to Banking and

Financial Fraud
Litigation Management of

NPAs and other recovery

mechanisms
Recognising and dealing with

Fraudulent Documentation
Two benched Panels

Discussion on : Who What

How of Collaborative
working with Banking In
house counsels and legal
service providers

SARFAESI Act (The Securitization and Reconstruction of Financial Assets and

Enforcement of Securities Act, 2002) was enacted to regulate securitization and
reconstruction of financial assets and enforcement of security interest created in
respect of Financial Assets to enable realization of such assets.
Enforcement of SARFAESI Act provide the powers under the RBI guidelines has
created difficulties for legal departments of creditors to balance fundamental rights
and enforcement of act with appropriate strategy in order to recover debt under
various acts within the jurisdiction of courts.
Fraud Identification and Risk Management
The innovation in technology and global terrorism has increased sophistication of
frauds in Banking and Finance sectors. Growth of organized crime has raised
serious concern for legal departments to develop stringent control and monitor
mechanism for cyber crimes, money laundering, fraudulent documentations and
benami transactions. Recent cases against leading financial institutions have
increased reputational risks associated with poor fraud detection capabilities. This
has created challenges for the legal professionals as there is an increase in litigation
from the consumers.

ABOUT
Highlights of the Summit:

Basel III, a set of reform measures for Banking and Financial Sectors to
strengthen the regulation, supervision and risk management. The objective is to
absorb shocks from financial and economic stress, improve risk management and
governance to strengthen banks' transparency and disclosures. Implementation of
Basel III, with enhanced level of dynamism, and complexity within global regulatory
landscape will likely add significant challenges for legal professionals from banking
and financial sector to reorganize legal strategies to improve performance with
reduced NPA and effective litigation management strategies.

Legal Implications of Basel III

SARFAESI ACT

Summit Concept
The Indian Banking and Financial
Institutions are reshaping themselves with
the implementation of Basel III regulations
according to the guidelines of RBI issued in
April. The industry survived the global
financial meltdown around the world
standing in cross roads with the pressure to
meet the capital requirement.
The changing stringent regulatory
requirements, issues of global money
laundering and Benami transactions,
increased frauds with advancement of
technology, pressure for NPA reduction and
recovery brings immense stress for Legal
professionals in Banking and Financial
institution especially while dealing with
sticky legal frameworks.
As legal service providers, solutions
providers and customers prepare
themselves for next set of business
opportunities: Lex Witness presents
Banking and Finance Legal Summit,
which takes place on 25th June 2013 in
Mumbai for an in-depth discussion and
knowledge sharing on vital aspects of
banking and financial industries.

Basel III

implementations
Decoding SARFAESI Act
Banking Fraud Laws
Legal issues of Money

Laundering & Benami

Transactions
Cyber Laws and IT Act as

applied to Banking and

Financial Fraud
Litigation Management of

NPAs and other recovery

mechanisms
Recognising and dealing with

Fraudulent Documentation
Two benched Panels

Discussion on : Who What

How of Collaborative
working with Banking In
house counsels and legal
service providers

SARFAESI Act (The Securitization and Reconstruction of Financial Assets and

Enforcement of Securities Act, 2002) was enacted to regulate securitization and
reconstruction of financial assets and enforcement of security interest created in
respect of Financial Assets to enable realization of such assets.
Enforcement of SARFAESI Act provide the powers under the RBI guidelines has
created difficulties for legal departments of creditors to balance fundamental rights
and enforcement of act with appropriate strategy in order to recover debt under
various acts within the jurisdiction of courts.
Fraud Identification and Risk Management
The innovation in technology and global terrorism has increased sophistication of
frauds in Banking and Finance sectors. Growth of organized crime has raised
serious concern for legal departments to develop stringent control and monitor
mechanism for cyber crimes, money laundering, fraudulent documentations and
benami transactions. Recent cases against leading financial institutions have
increased reputational risks associated with poor fraud detection capabilities. This
has created challenges for the legal professionals as there is an increase in litigation
from the consumers.

AUDIENCESPEAKERS
INVITED & CONFIRMED SPEAKERS

Who should attend:

Corporate Counsel
Company Secretary
Head - Contracts
Head - Legal

Sectors:
Financial Institutions

Chief Executive Officer

Banking Sector

Chief Financial Officer

Insurance Sector

Chief Operating Officer

Large Corporate

Managing Director
Head - Compliance

Private Equity Firms

Head - Corporate Affairs

Government Authorities

Head - Operations

Law Firms

Head - Regulatory Affairs

Head Litigation
Head Risk Management
Branch Head
Head Audit
Legal Officer
Project Financer
Law Firm Partners
Individual Practitioners

Abhijit Sanzgiri, Head - Internal Audit, Aditya Birla Financial Services Group
Ajay Thomas, Registrar, LCIA India
Amber Gupta, Head Compliance, Legal & Secretarial Aditya Birla Money
Anand Vasagan, Head Legal, DHFL Ltd.
Arun Khanna KK, Head Legal - Commercial Finance, Tata Capital
Ashish Kumar Chauhan, MD & CEO, BSE
B. Gopalakrishnan, President & Head (Law), Axis Bank Ltd.
G.S.Hegde, Principal Legal Adviser, Reserve Bank of India
Harminder Mann, National Manager - Fraud Risk Management, Barclays
Kamlesh Gujar, Vice President - Legal & Compliance, Angel Broking
Kumar Medhavi, AVP Legal & Risk Management, Yes Bank
Lalit Bhasin, President, SILF
M Achhapalia, Regional Head Financial Crime Risk, Standard Chartered
Nagaraj Hiregange, VP Legal, Motilal Oswal Securities Ltd.
Nikhil Parulkar, Forensic Auditor & Head - Credit Intelligence, Kotak Mahindra
Nilanjan Sinha, General Counsel, GE Capital
PBA Srinivasan, Editor in Chief, Lex Witness
Rajeev Kumar, AVP Legal, HDFC Property Ventures Limited
Rajeev Uberoi, General Counsel & Group Head - Legal & Compliance, IDFC
Raju Dodti, Senior Director & Head Legal, IDFC Ltd.
S.D. Kelkar, G M Law, SBI
Sameer Karkatte, Head - Legal & Compliance, Reliance Life Insurance Company Ltd
Sandhya Vishal, Head of Legal, ANZ Banking Group Limited
Siva Subramanian Ramann, Executive Director, SEBI
Sri Phani Yenamandra, Vice President-Legal, Citibank
V.S.V. Rao, Legal Advisor, IFCI Ltd.
While we are receiving quite a few speaker requests, in case of any
recommendations get in touch with;
Abidali Dossa
Summit Architect
Abid@WitnessLive.in
09702849915
Gautham M Swamy
Gautham@WitnessLive.in
09916094991
Neelima Maheshwari
Neelima@WitnessLive.in
08800841600

09.30

Opening Remarks

13.30

Networking Lunch

09.40

Presentation by Platinum Partner

14.30

Panel Discussion: Litigation Management

10.00

Keynote Address: Basel III - What it means for legal professionals

Legal Regulatory framework as per Basel III
Implication and implementation for norms & appropriate assessment
procedures
Basel II v/s Basel III - How can banking legal professionals be geared for
the change?

10.30

Panel Discussion: SARFAESI - Securitization and Reconstruction of

Financial Assets and Enforcement of Security Interest Act
Recent trends in Recovery Law after onset of SARFAESI ACT
Challenges to create balance between respective rights
Strategies to enforce SARFAESI Act in liquidation of assets
Understanding the regulatory legal framework of debt recovery tribunal
Examining the jurisdiction of courts under the Act
S.D. Kelkar, GM Law, SBI
Kumar Medhavi, AVP Legal & Risk Management, Yes Bank
Anurag Shukla, Dy GM- Retail Legal, Asset Reconstruction Company (India) Ltd.
Anand Vasagan, Head Legal, DHFL Ltd.
Zeeshan Khan, Legal Officer, Union Bank

11.30

Networking Break

12.00

Knowledge Partner Presentation

12.20

Panel Discussion: Fraud Identification and Risk Management

Challenge for Legal Professionals

Increasing NPAs are affecting overall performance of banks & financial

institutions, for recovery in the process raising legal hurdles for professionals
Alternative options to cope up with flaws of Judicial system for NPA recovery
Challenges in legal action for recovery from SICK Industry
Examining the strengths and weakness of tools of recovery for banking
legal professionals
o Lok Adalat
o Debt Recovery Tribunals (DRT)
o Assets Recovery
o Corporate Debt Restructuring (CDR)
V.S.V. Rao, Legal Advisor, IFCI Ltd
Raju Dodti, Senior Director& Head Legal, IDFC Ltd.
Ajay Thomas, Registrar, LCIA India
Sameer Karkatte, Head - Legal & Compliance, Reliance Life Insurance Company Ltd

15.40

Gold Partner Presentation

16.00

Networking Break

16.30

Two Benched Panel Discussion:

Best Practices for collaborative working of in-house Legal Team of Banking
and Finance sectors with Legal Service Providers.
This unique format features legal teams from Banking & Financial services
on one side and Legal Service provider on the other for an open discussion
on practical challenges from their perspective and to seek out
workable resolutions.

Discussion Focus Part one: Banking Fraud Laws in India and Initiatives
by the RBI
Analyzing current guidelines for banking fraud laws in India and
its effectiveness
Discussion on initiatives by the RBI
Identifying the need for improvement for more stringent banking laws

Open Discussion:
What are the practical problems between Legal Service Providers and in
house legal department of bank and financial institutions?
o Pressure Situations ~ Legal Service Providers & In House Counsel
o Implementation of which is legally & practically not possible
o How to work on amicable solutions?
o Professional Fees a view from both sides
o Resolution
Decoding: Best practices in due diligence of assets to be mortgaged
or hypothecated
Decoding: Best Practices in Vetting of Documents
Renewal of Documents Service
Contractual Agreements
o Perspectives from Banking Sector
o Perspectives from NBFI
Consortium Loan Agreements
Legal Auditing: Benchmarking Best Practices

Discussion Focus Part Two: Money Laundering and Benami Transactions

Money Laundering & Benami Transactions in respect to FEMA
Obligation of banking and financial institutions and intermediaries
Examining the key elements for effective legal and compliance program
for the prevention with adequate policies, practices and procedures
Mitigating International Money Laundering and Benami accounts
Risk - Implementing Policies, Procedures, Standards and Guidance
Designing legal framework to formulate phishing laws and regulations
for banks and financial institutions
Discussion Focus Part Three E- Banking
Understanding the nature of crimes through online transactions in
Banking and Financial industries
Analysis of existing cyber laws and IT Acts for online frauds
Defining legal framework for Cyber Infrastructure for banks and
financial institutions
Abhijit Sanzgiri, Head - Internal Audit, Aditya Birla Money
Amber Gupta, Head Compliance, Legal & Secretarial Aditya Birla Money
Sri Phani Yenamandra, Vice President-Legal, Citibank
Arpinder Singh, Partner & National Director - Fraud Investigation & Dispute Services, Ernst & Young India
B. Gopalakrishnan, President & Head (Law), Axis Bank Ltd.

Nilanjan Sinha, General Counsel, GE Capital Session Chair

B. Gopalakrishnan, President & Head (Law), Axis Bank Ltd.
Girish Gokhale
Uday Shankar Dutt, Advisor - Fraud Investigation & Dispute Services, Ernst & Young India
PBA Srinivasan, Editor in Chief, Lex Witness
Sandhya Vishal, Head of Legal, ANZ Banking Group Limited

17.30

Summit Conclusion

09.30

Opening Remarks

13.30

Networking Lunch

09.40

Presentation by Platinum Partner

14.30

Panel Discussion: Litigation Management

10.00

Keynote Address: Basel III - What it means for legal professionals

Legal Regulatory framework as per Basel III
Implication and implementation for norms & appropriate assessment
procedures
Basel II v/s Basel III - How can banking legal professionals be geared for
the change?

10.30

Panel Discussion: SARFAESI - Securitization and Reconstruction of

Financial Assets and Enforcement of Security Interest Act
Recent trends in Recovery Law after onset of SARFAESI ACT
Challenges to create balance between respective rights
Strategies to enforce SARFAESI Act in liquidation of assets
Understanding the regulatory legal framework of debt recovery tribunal
Examining the jurisdiction of courts under the Act
S.D. Kelkar, GM Law, SBI
Kumar Medhavi, AVP Legal & Risk Management, Yes Bank
Anurag Shukla, Dy GM- Retail Legal, Asset Reconstruction Company (India) Ltd.
Anand Vasagan, Head Legal, DHFL Ltd.
Zeeshan Khan, Legal Officer, Union Bank

11.30

Networking Break

12.00

Knowledge Partner Presentation

12.20

Panel Discussion: Fraud Identification and Risk Management

Challenge for Legal Professionals

Increasing NPAs are affecting overall performance of banks & financial

institutions, for recovery in the process raising legal hurdles for professionals
Alternative options to cope up with flaws of Judicial system for NPA recovery
Challenges in legal action for recovery from SICK Industry
Examining the strengths and weakness of tools of recovery for banking
legal professionals
o Lok Adalat
o Debt Recovery Tribunals (DRT)
o Assets Recovery
o Corporate Debt Restructuring (CDR)
V.S.V. Rao, Legal Advisor, IFCI Ltd
Raju Dodti, Senior Director& Head Legal, IDFC Ltd.
Ajay Thomas, Registrar, LCIA India
Sameer Karkatte, Head - Legal & Compliance, Reliance Life Insurance Company Ltd

15.40

Gold Partner Presentation

16.00

Networking Break

16.30

Two Benched Panel Discussion:

Best Practices for collaborative working of in-house Legal Team of Banking
and Finance sectors with Legal Service Providers.
This unique format features legal teams from Banking & Financial services
on one side and Legal Service provider on the other for an open discussion
on practical challenges from their perspective and to seek out
workable resolutions.

Discussion Focus Part one: Banking Fraud Laws in India and Initiatives
by the RBI
Analyzing current guidelines for banking fraud laws in India and
its effectiveness
Discussion on initiatives by the RBI
Identifying the need for improvement for more stringent banking laws

Open Discussion:
What are the practical problems between Legal Service Providers and in
house legal department of bank and financial institutions?
o Pressure Situations ~ Legal Service Providers & In House Counsel
o Implementation of which is legally & practically not possible
o How to work on amicable solutions?
o Professional Fees a view from both sides
o Resolution
Decoding: Best practices in due diligence of assets to be mortgaged
or hypothecated
Decoding: Best Practices in Vetting of Documents
Renewal of Documents Service
Contractual Agreements
o Perspectives from Banking Sector
o Perspectives from NBFI
Consortium Loan Agreements
Legal Auditing: Benchmarking Best Practices

Discussion Focus Part Two: Money Laundering and Benami Transactions

Money Laundering & Benami Transactions in respect to FEMA
Obligation of banking and financial institutions and intermediaries
Examining the key elements for effective legal and compliance program
for the prevention with adequate policies, practices and procedures
Mitigating International Money Laundering and Benami accounts
Risk - Implementing Policies, Procedures, Standards and Guidance
Designing legal framework to formulate phishing laws and regulations
for banks and financial institutions
Discussion Focus Part Three E- Banking
Understanding the nature of crimes through online transactions in
Banking and Financial industries
Analysis of existing cyber laws and IT Acts for online frauds
Defining legal framework for Cyber Infrastructure for banks and
financial institutions
Abhijit Sanzgiri, Head - Internal Audit, Aditya Birla Money
Amber Gupta, Head Compliance, Legal & Secretarial Aditya Birla Money
Sri Phani Yenamandra, Vice President-Legal, Citibank
Arpinder Singh, Partner & National Director - Fraud Investigation & Dispute Services, Ernst & Young India
B. Gopalakrishnan, President & Head (Law), Axis Bank Ltd.

Nilanjan Sinha, General Counsel, GE Capital Session Chair

B. Gopalakrishnan, President & Head (Law), Axis Bank Ltd.
Girish Gokhale
Uday Shankar Dutt, Advisor - Fraud Investigation & Dispute Services, Ernst & Young India
PBA Srinivasan, Editor in Chief, Lex Witness
Sandhya Vishal, Head of Legal, ANZ Banking Group Limited

17.30

Summit Conclusion

CONNECT
Summit Architect &
Speaking Opportunities

Banking & Finance

Legal Summit 2013

Abidali Dossa
Abid@WitnessLive.in
09702849915
Gautham M Swamy
Gautham@WitnessLive.in
09916094991

25th June 2013 | Mumbai

Courtyard by Marriott

Neelima Maheshwari
Neelima@WitnessLive.in
08800841600

An Interactive and
engaging forum for
sharing of practical solutions for
professionals dealing with complex
legal and regulatory
framework for banking
and financial services

Sponsorship
Opportunities &
Delegate Registrations
Neelima Maheshwari
Neelima@WitnessLive.in
08800841600

BLOCK YOUR DIARY

Bhupinder Kaur
Bhupinder@WitnessLive.in
09654155065

Silver Partner

Strategic Alliances &

Partnerships
Akshay Alagh
Akshay@WitnessLive.in
09899332111, 09899332440

Lex Witness
B 1/6, Lower Ground Floor, Hauz Khas
New Delhi - 110016
T: 01143440000 F: 01143440099
info@witnesslive.in
www.witnesslive.in

WWW.BFLS.CO.IN

June

25
2013

Associate Partner

Supporting Partners

Online Media Partners

Kit Sponsor

Fraternity Partners

WWW.BFLS.CO.IN

Banking & Finance

Legal Summit 2013
25th June 2013 | Mumbai
Yes! I/We will attend the BFLS 2013
on 25th June 2013, Mumbai

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Witness Subscribers
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Members

Registration Form
Please send in completed form by email
to bfls2013@witnesslive.in

1st Delegate
Name: Dr/Mr/Ms

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Tel: 011-43440000 Fax: 011-43440099

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Attendance will only be permitted upon receipt

of full payment. Cancellations received before
June 10, 2013 will be refunded less INR 3000,
administration fee. Thereafter, cancellations are
not refundable. Participants may be substituted
at any time. In case the event gets postponed or
cancelled due to unforeseen circumstances,
payments will be credited to a future event
organized. Delegates will receive a credit note
valid for 1 year to participate in any future events
organized. It may be necessary for reasons
beyond the control of the organizer to alter
content and the event date or location or the
identity of speakers.