CSS 2020 Regulatory Compliance Forum

- The Brewery London

The CSS 2020 Regulatory Compliance Forum: Managing Regulatory Change in the Funds Industry is a free, one-day event for financial institutions in the Funds Industry such as Asset Managers, Custodians, Fund Managers and Hedge Funds that will explore major concerns in our industry.

This event will be an educational program for compliance professionals of fund managers, with a goal of fostering learning and inspiration. Just register at the link below to join a distinguished list of speakers and colleagues for insightful discussions, learning opportunities, networking and more.

To register for this event, click here.

08:30-09:15

Registration & Breakfast

09:15-09:30

Welcome Address with John Lee

09:30-10:10

Compliance Outlook 2020: Brexit, Liquidity & Beyond

10:10-10:50

Big Issue Debate: Compliance as a Service

Topics:

  • Cyber resilience & operational resilience
  • Culture & Conduct – Impacts on the organisation
  • Regulator culture & conduct
  • Knowledge in industry – How do you get the right skills?
  • Workplace in the future

10:50-11:10

Coffee Break & Networking

11:10-12:30

RegTech Boardroom: Global Threshold Management

  • Theme: Dynamic Compliance

RegTech Boardroom: Global Funds Reporting

  • Theme: The growing and disparate demands for regulation-oriented cost transparency and consolidating Global Funds Reporting

RegTech Boardroom: Global Transaction Reporting

  • Theme: SFTR implementation and lessons learned from MiFIR and EMIR

12:30-13:30

Lunch & Networking

13:30-14:30

ESG Reporting: Sustainability Disclosures Under the EU Disclosure Regulation

14:30-15:15

The Art of Data: Is the Definition of Intelligence the Ability to Adapt to Change?
Keynote Speaker: Tobias Degsell

15:15-15:30

Closing Remarks with Doug Morgan, CSS CEO

15:30-17:00

Drink & Canapes Networking Event

To register for this event, click here.

Speakers will continue to be added to the event, so check back for updates.

To register for this event, click here.

Richard Balarkas

Chairman

SquareBook

Richard has been in the vanguard of change in financial market structure, regulation and trading for over 30 years. He is a non-executive director of CBOE Europe, non-exec director of Saxo Capital Markets UK, Chairman of Squarebook, and advisor to Goldex. He has held a number of senior positions within leading brokerages, investment banks and exchanges, including President and CEO of Instinet Europe, Global Head of Electronic Trading at Credit Suisse, COO for trading at BZW, founding CEO of the City Group for Smaller Companies (now QCA, Quoted Company Alliance), and Head of National Market Development at the London Stock Exchange. In 2005 he was elected to serve as Co-Chair of the FPL Global Steering Committee, the organisation responsible for setting industry standards for electronic trading. His thoughts and comments on markets and regulation have been broadcast and published by most of the major media channels.

Nicholas Bruce

Business Development Manager

Regis-TR

Nick Bruce is Business Development Manager at Regis-TR; one of Europe’s leading Trade Repositories with around 1500 clients and averaging over 30 million new trades a week. Responsible for the Sales and Relationship Management functions, Nick is well versed in EMIR, FinfraG and the upcoming SFTR reporting regimes working closely with clients and industry bodies with respect to both the requirements and challenges that the industry faces. Nick has worked in the Financial Services industry for nearly 30 years and prior to joining Regis-TR, spent 15 years at HSBC where he, amongst other roles, ran the Sovereigns and Supranationals sector for their Securities Services business. He has also worked in Securities Services and Commercial Banking at a number of institutions including State Street, Deutsche Bank and Barclays.

Sarah Crabb

Managing Associate

Simmons & Simmons

Sarah is a leading investment funds specialist. Her practice focuses on the establishment, structuring, maintenance and restructuring of both hedge and private funds (liquid and illiquid assets) in a variety of jurisdictions. Sarah is a Managing Associate in Simmons & Simmons Financial Services group in London. Sarah acts for some of the largest and best-known managers globally and uses her expert knowledge of both open- and closed-ended structures to advise a range of clients on “hybrid” funds. She also regularly advises asset management clients on the impact of regulatory issues.

Tobias Degsell

Chief Executive Officer

Combiner

Tobias Degsell is the founder and CEO of COMBINER. Before becoming an entrepreneur Mr. Degsell worked as many years a curator at the Nobel Museum in Stockholm, Sweden. In 2010 he began travelling the world preaching the power and magnitude of creativity. Today he helps companies and organisations all over the world to think and act new.

Claire Farley

Executive Director

aosphere LLP

Claire is Executive Director of aosphere, LLP, an affiliate of Allen & Overy LLP, an award-winning provider of innovative online legal risk management solutions. With overall responsibility for aosphere’s entire product strategy, Claire is also the head of the group’s three online regulatory subscription services, and, most recently has become an application developer and coder, creating apps which deliver legal content to clients in an instant. She has experience on a wide range of cross-border legal issues, and has led the design and development of aosphere’s financial services regulatory online services.
Prior to joining aosphere, Claire was a senior transactional lawyer in Allen & Overy’s leading corporate practice, advising on public and private M&A, corporate finance and private equity, with a particular interest in cross-border transaction

Linda Gibson

Director of Regulatory Change & Compliance Risk

BNY Mellon Pershing

Linda Gibson has overall management responsibility for reviewing emerging regulations and working with colleagues and clients to anticipate and advise on the impact and opportunities. Linda joined Pershing in 2009 as head of compliance advisory and moved to her current role in 2014. She has more than 20 years’ experience in financial services. Prior to joining Pershing, Linda was head of compliance for Penson Financial Services and before that worked for the FCA where she managed a team responsible for all subjects of ongoing supervision for wholesale firms.

Rafael Gomes

Managing Director, Finance & Risk Practice

Accenture

Dr. Rafael Gomes is a Managing Director in Accenture Risk Practice and leads the UK Regulatory & Compliance group. His current areas of focus include automation of risk control and testing, technology risk management, risk strategy for innovation labs, and regulatory use cases for blockchain. Rafael has advised on and delivered wide-ranging regulatory and conduct-focused transformation at Capital Markets and Retail institutions. He was awarded the Robin Cosgrove Global Prize for Ethics in Finance for research based on his PhD in risk and regulation, and has commented in numerous media and trade publications. Rafael holds a PhD from Nottingham University and also studied at the London School of Economics and University College London.

Pauline Hawkes-Bunyan

Director, Business Risk, Culture & Resilience

The Investment Association

Pauline oversees the team responsible for supporting IA member firms on policy issues affecting risk, resilience and P&L. She has gained deep experience and insight from previous senior roles, in the investment management industry since 2000, and now at the IA. Before joining the IA, Pauline was a Director at Aviva and Financial Services Partner at Deloitte. She is a Chartered Accountant, Chartered Tax Adviser and holds a LLB Honours degree from Glasgow University.

Greg Hotaling

Regulatory Compliance Expert

Greg is a Compliance SME (Subject Matter Expert) at CSS, addressing global regulatory matters relevant to the financial industry. Since its inception Greg has led the regulatory research and content team for Signal, the 2018 “HFM Best RegTech Solution” award-winner that facilitates compliance with shareholder disclosure and position limit rules around the world. Prior to joining CSS, Greg practiced law as a corporate and securities attorney in New York for 10+ years, held a one-year term as a federal Law Clerk, directed and wrote a nationally broadcast documentary film, and worked as a paralegal in Paris, France as well as in Washington D.C.

Jonathan Lee

Senior Regulatory Reporting Specialist (SFTR)

Kaizen Reporting

Jonathan is an expert in a number of regulatory regimes in the transaction reporting, trade reporting, liquidity reporting and prudential supervisory space and spearheads Kaizen’s SFTR service offering. 
He has 20 years of front-to-back investment banking experience including 11 years at JP Morgan. Jonathan’s focus over the past five years has been on the emergence of new regulations covering securities financing, money market reporting and collateral reuse. In this capacity, he has been closely engaged with the FSB, ESMA, ECB and Bank of England and has been at the forefront of educational and advocacy efforts in the forthcoming Securities Financing Transaction Reporting (SFTR) regime.  Jonathan is a former chair of both the ICMA ERCC SFTR Taskforce and AFME Primary Dealers Reporting group.

David McCarthy

Head of European Affairs

The Investment Association

David leads the IA’s strategy on Brexit and International policy. Since the Brexit referendum in June 2016, David has worked closely with the UK Government to mitigate the worst effects of a no deal scenario on the investment management industry, and advised members as they have navigated the complex legal and regulatory changes caused by the UK’s decision to leave the European Union.As a member of the IRSG’s Working Group on Market Access, and as a member of the EU Strategy Group co-chaired by the COLC and TCUK, David is also deeply involved in shaping the nature of the future relationship on financial services between the UK and the EU on behalf of the investment management industry.

Claire Mousley

Senior Associate

aosphere LLP

Claire is a senior associate at aosphere LLP. She joined aosphere in 2015, working on the Rulefinder Marketing Restrictions – Asset Management product before joining the Rulefinder Shareholding Disclosure team in 2016 to work on developing managed holdings content, giving her broad proficiency in cross-border regulatory compliance topics.
Claire qualified as a lawyer with Allen & Overy in 2008, working as an Associate in the regulatory funds and financial products group advising on investor negotiations, fund documentation and a broad range of regulatory matters. Prior to joining aosphere, Claire spent four years in the legal team at UBS Asset Management (UK) Ltd where she was responsible for advising on derivatives regulation, including Dodd-Frank and EMIR implementation.

Ben Nelmes

Head of Policy at UK Sustainable Investment and Finance Association

UKSIF

Ben joined UKSIF in November 2018 and leads UKSIF’s public policy work. Before joining UKSIF, Ben worked as an adviser to a senior politician, covering the environment, sustainability and exiting the EU. He also worked in the House of Lords, for a think tank, and for an MEP. Ben has a degree in philosophy from King’s College London.

Chris Ostrowski

Commercial Director

OMFIF

Chris is the Commercial Director at OMFIF. His role is to expand and enhance OMFIF’s activities across the world and oversees all OMFIF’s relationships with public sector and private sector institutions.
He previously worked in financial publishing and research for Euromoney Institutional Investor and Incisive Media. He has set up international investment conferences all over the world and has worked extensively in Russia, Southern Europe and Asia.
He studied at the University of East Anglia and the IE Business School in Madrid, where he is now a visiting lecturer on financial markets.

Mark Sherwin

Senior Adviser – Financial Reporting

The Investment Association

Mark leads The Investment Association’s activities on all matters to do with cost transparency across the both institutional and retail markets and supports members in the application of rules for UK pensions, MiFID firms and PRIIPs providers. He was closely involved in the development of the LGPS Code of Transparency and the IA’s own initiative to develop an industry wide disclosure framework in 2017. He was a core member of the Institutional Disclosure Working Group (IDWG) and has been instrumental in developing the mainstream tools and guidance underpinning the CTI framework.

Michael Sparkes

Analytics

Virtu ITG

Michael Sparkes is responsible for business development activities for Virtu ITG in EMEA covering TCA and related analytical products. Previously he was head of ITG’s global consulting team. Michael has more than 30 years’ experience in the City, including several years as Head of International Equities at Aviva Investors where he oversaw portfolio management and trading, and was a Director of the Aviva’s asset management subsidiaries in Japan and Singapore. Michael is a graduate of Cambridge University.

Dr. Kay Swinburne

Vice Chair of Financial Services – London

KPMG UK

Kay is Vice Chair of Financial Services KPMG UK, and previously served as Vice Chair of the European Parliament’s influential Economics and Monetary Affairs Committee, playing a pivotal role in shaping EU and global financial services legislation, including setting up the EU supervisory bodies (ESAs, SSM, SRM), capital markets union (EMIR, MiFID II, Prospectus, CCP Recovery & Resolution), and the broader banking union files. Prior to Kay’s career as an MEP, Kay worked in investment banking. Kay brings a unique insight to policy ‘behind the scenes’ and the reality of Brexit in the aftermath of 31 January 2020.

Vikramaaditya

Chief Transformation & Administration Officer

HSBC Global Asset Management Limited

Vikramaaditya is Chief Transformation & Administration Officer for HSBC’s Global Asset Management business with responsibility for leading the global portfolio of business and regulatory change initiatives including global infrastructure change and optimisation of operating models. Vikram also has leadership responsibility for the asset management operations global delivery capability based at Bengaluru, India. HSBC Global Asset Management manages assets of about USD 500Bn with offices in 26 countries and territories across the world.

Event Location: The Brewery | 52 Chiswell Street | London

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