morning keynote regulations & compliance forum - TSAM London

morning keynote regulations & compliance forum - TSAM London

MORNING KEYNOTE For the opening keynote, you will be in the company of all TSAM London attendees. This includes all participants from Regulations & Co...

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MORNING KEYNOTE For the opening keynote, you will be in the company of all TSAM London attendees. This includes all participants from Regulations & Compliance, Client Reporting & Communications Forum, Marketing & Sales Communications Forum, Technology & Operational Strategy, Data Management and Performance Measurement & Investment Risk. 09:00 TSAM London 2017 Welcome Address Jonathan Wiser, Director, Osney Media 09:10 What Can the Industry do to Stabilise the Tide of Uncertainty Brought About by Brexit? Moderator: Angus Canvin, Senior Advisor, Regulatory Affairs, The Investment Association Mark Versey, Chief Investment Officer, Investment Solutions, Aviva Investors Richard Lacaille, Global Chief Investment Officer, State Street Global Advisors 09:45 A Robo-Revolution: How Are Robo-Advisors Altering the Investment Landscape? Moderator: Ronan Brennan, Chief Technology Officer, Accudelta Joe Parkin, Head of Wealth & Retail UK, iShares, Blackrock Martin Harris, Head of Advice, Wealth Wizards Shane Williams, Co-Head, UBS Smartwealth, UBS Jono Hey, Head of User Experience, Nutmeg 10:25 Morning Networking & Refreshments Spend this time networking with your counterparts, meeting the exhibitors and taking part in one-to-one meetings. All of the keynote speakers will stick around for the break, giving you the opportunity to meet them in person and continue discussions.

REGULATIONS & COMPLIANCE FORUM

The six individual conferences commence after the morning networking break. This enables you to dive into Regulations & Compliance for the rest of the day; alternatively, you have the opportunity to move between conferences to create your own, personalised programme. Session timings align across all six programmes to make room transitions easy. 11.20 Chair’s Welcome Address Rudolf Siebel, Managing Director, BVI 11.20 Deep-Dive Panel Discussion: MiFID II Across an Asset Management Organisation • The end-to-end impacts: How processes have become driven by the regulation • What have been the key challenges with implementation across the business? What difficulties have your department faced? • Will you be ready to report by January 2018? • What opportunities will MiFID II present to the regulators and the market? • Have you combined your MiFID II & PRIIPS preparation? How are you taking advantage of any regulatory ‘overlap’? • How has your organisation combated the demand for more trading data & information? What processes are in place for transaction cost analysis and reporting? Moderator: Rudolf Siebel, Managing Director, BVI Darryl Cornelius, Vice President - Head of European Regulatory Projects, State Street Global Advisors Alain Robert-Dautun, Head of Risk Management, Sycomore Asset Management [email protected]

www.tsamlondon.com

Angela Hayter-Holt, Head of Regulatory Reporting, Hermes Investment Management Alexander Dorfmann, Senior Product Manager, Six Financial Information Cora Gibbons, Director, Head of Product Development, Baring Asset Management Alun Cutler, Director Product Management EMEA, Charles River 12:00 5 minute break to move between conferences 12.05 Fireside Chat: Best Practice for Coordinating your Regulatory Projects within the Business?

• • • • • •

How is your compliance team set up? How do you coordinate MiFID II, Solvency II, EMIR, FATCA/CRS and other regulatory requirements? What methods of communication do you have with other business functions (risk, reporting teams etc.) within the organisation? Will MiFID II be the top regulatory business priority in the coming months? How can your partnerships with external parties ease your burdens with MiFID II & other regulations?

How much of your role consists of educating colleagues and other teams? Do regulatory ‘projects’ still exist? Has it all become BAU? Moderator: Ronan Brennan, Chief Technology Officer, Accudelta Patricia Horsfall, EVP, Chief Risk & Compliance Officer, International Distribution, Natixis Global Asset Management David Berry, Market Data Exchanges and Commissions Global Sourcing, IPUG CIQ Andrew Baldock, Director Funds Product Management, Euroclear 12.35 Deep Dive Presentation: The Challenges of Regulatory Reporting • The regulations and directives driving the agenda • The impact and uncertainty Brexit may have on regulators • The costs of compliance weighed against regulatory fines and reputational damage • The potentially contradictory interpretation and application of regulations • The role and recent decisions of the regulators themselves • The existing gaps between regulatory rules; and organisations’ processes and controls Gillian Boston, Associate Director, AutoRek 13.00 Networking Lunch Spend this time at lunch meeting the exhibitors, taking part in one-to-one meetings and discussing the opening sessions with your peers. 13:05 Product Demonstration: Meeting the challenge of Global Shareholder disclosure Olivier Wery, Senior Business Consultant, Charles River 13:45 Product Demonstration: Reconciliations and Regulatory Reporting Gordon McHarg, Managing Director & Founder, AutoRek

[email protected]

www.tsamlondon.com

14:10 Panel Discussion: Financial Regulation with a Focus on Clearing Derivatives

• • •

EMIR and MiFID clearing obligations How are these regulations enabling EU commitments on derivatives? CCP recovery & resolution: How does this interact with regulatory regimes of clearing members? Mitja Siraj, Vice President of Legal, Europe, FIA Vincent Dessard, Senior Policy Advisor, EFAMA Tim Wickens, Global Head of Funds Credit | FI Credit, Lloyds Bank Commercial Banking Patrick Pearson, Head of Crisis Management & Resolution, European Commission Stephane Janin, Head of Global Regulatory Development, AXA Investment Managers Anne-Laure Condat, Technical Specialist, Financial Conduct Authority 14:50 5 minute break to move between conferences 14:55 The latest PRIIPs RTS – Everything you need to know

• • • •

Why did the European Parliament reject the regulatory technical standards? What are the changes in the new RTS? What are the key implementation considerations? What can be done now reduce implementation risk?

Ronan Brennan, Chief Technology Officer, Accudelta

15:15 5 minute break to move between conferences 15:20 Fireside Chat: The Future of European Regulation: Impacts of Brexit & More • How will Brexit’s fallout affect the regulatory landscape for the UK & European market? • What difference will a ‘soft’ or ‘hard’ Brexit have for European asset managers? • How have the FCA & other British regulators reacted so far? • Will the impact be positive or negative for the UK on a regulatory level? • Aside from Brexit, what does the future hold for European regulation in Asset Management? • What impacts could the findings of the FCA’s asset management market study have? Moderator: Rudolf Siebel, Managing Director, BVI Neil Sweeney, Global Head of Compliance, Aberdeen Asset Management Angus Canvin, Senior Advisor, Regulatory Affairs, The Investment Association Thomas Maas, Sales Manager EMEA, Sovos Compliance 16:00 Networking and Refreshment Break Spend this time meeting the exhibitors, taking part in one-to-one meetings and discussing the sessions with your peers. 16:30 Interactive Brainstorming Groups Attendees will be brought together to discuss news, views and recent trends – after the brainstorming groups, attendees will feedback the thoughts of their group to the rest of the conference participants Topic 1: How best to cope with regulations amid rising costs and resource drain Topic 2: Collateral Management: Gaining a competitive advantage Topic 3: Solvency II in 2017: What impacts is it having on your organisation? Topic 4: Chairman’s Choice [email protected]

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17:00 5 minute break to move between conferences 17:05 Fireside Chat: The Market Abuse Regulation (MAR): Challenges and Solutions

• • • • •

Reviewing ESMA’s recently released guidelines What difficulties and challenges have arisen since the regulation came into effect on July 3rd? How is the new regulation protecting against abuse of electronic trading systems? How are you integrating MAR with MiFID in your organisation? Will it succeed in its aims of increasing market integrity & investor protection? Moderator: Rudolf Siebel, Managing Director, BVI Jeroen Fijneman, Head of Compliance Belgium & Senior Compliance Officer, NN Investment Partners 17:25 Chair’s Closing Remarks Your Chair will highlight the key takeaways and core learnings from the day, as well as challenging you to a) consider the challenges that lie ahead and b) predict what 2018 trends could be. Rudolf Siebel, Managing Director, BVI 17:30 Networking Party After the day’s presentations have come to an end, continue your conversations and networking the night away with your peers.

[email protected]

www.tsamlondon.com