Looking at the Year Ahead – Global Compliance and Data Priorities for Investment Firms is a free, one-day event that will explore major concerns in our industry such as SFTR, Brexit, cost & charges disclosure, post-trade compliance and strategic responses to regulatory reporting.
This event will be an educational program for compliance professionals of asset managers, institutional wealth managers, registered investment companies and others within the financial services world, 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.
Where: The Brewery – 52 Chiswell Street, London
When: Tuesday, 12 February 2019
Registration & Morning Coffee
Conference Kickoff and Welcome
John Lee, President – CSS
Update on Latest State of Affairs with BREXIT
A briefing from on the current state of affairs with BREXIT from Jack Knight, Deputy CEO of The Investment Association.
Finding the Certain in an Uncertain Post-BREXIT World
How should investment firms with global ambitions be preparing for 2019 and beyond? This session will address these questions:
- How can EU and UK forms alike – turn BREXIT into an opportunity
- How should UK firms be adapting to distribution challenges in Europe going forward
- How should EU and US firms be planning to retain and grow their UK investment book
- With six weeks to go – what are the key final-mile actions firms need to have on their agenda now
The World of Regulatory Template Exchange – What’s Next?
The world of template exchange is evolving rapidly – Solvency II (TPT), PRIIPs (EPT), MiFID II (EMT/EFT) and now UK pension and institutional client cost disclosures (DCPT/FVPT/LGPS/IDWG) – what’s next? This panel will discuss:
- The evolution of industry templates across Asset Management, Insurance, Wealth Management & Pensions
- The success of some templates and failure of others
- Industries challenges with templates
- Where next – what can we expect in the future
Preparation SFTR: Will Firms Be Ready?
Scheduled to go live in the first quarter of 2020, SFTR has shaken firms still wrestling with its impact as well as the preparation necessary to ensure compliance readiness. This session will highlight the challenges when establishing a sustainable solution over time, not only for SFTR but also considering EMIR, MiFID II and more. Panelists will discuss the following:
- Primary challenges
- Lessons learned from EMIR/MiFID II
- Reporting vs. reconciliation
- Build vs. buy
Building a Global Compliance Program
The challenges of managing a compliance program on a global basis increase with the speed and efficiency by which businesses extend their reach from national borders. Challenges include personnel disbursed across the world, applying global and local policy to respective business units, and the existence of disparate systems across scattered business units. Compliance Policy management, supervisory practices, certifications, and training all must be coordinated to build effective compliance programs. This panel will explore practices and solutions to tackle challenges of implementing and managing a global compliance program.
Post-Trade Compliance and Review Challenges
What is the greatest challenge to implementing adequate surveillance of trading activities in investment firms today? Is it the number of false positives, or the poor-quality data, or ability to cover all activity, or indeed just understanding the compliance and regulatory rules or does it really come down to getting the budget to do it right?
- What are the real challenges firms face today
- How should firms be addressing the challenges and getting our in front of the regulator
- What is the US regime like, and how does it compare to Europe
Shareholder Monitoring and Disclosures: Keeping One Step Ahead of the Front Office
When CCOs are asked “What keeps you up at night?”, often topping the list is “Missing a shareholder filing deadline in a foreign jurisdiction.” From short sale reporting to takeover panel filings to position limits monitoring, we’ll discuss which jurisdictions are the most challenging and why. We’ll also give tips on how firms are handling the overwhelming task of tracking the variety of shareholder reporting triggers, filing methods via government forms and web portals, and tight deadlines across multiple time zones.
The Future of Compliance
From innovation labs to tech sprints, asset managers and regulators alike are looking at the ways technology can change the world of compliance and how data is shared with regulators. This special presentation will tell you what regulators are up to today and explore what the future holds.
Closing Remarks & Thank You
Event Location: The Brewery | 52 Chiswell Street | London
Hotel Information: CSS has reserved a block of hotel rooms at The Montcalm at The Brewery London City, located steps from The Brewery meeting space, for the nights of 11 February – 14 February. Discount rate information will be furnished upon event registration.
Room Rates: £190.00 plus VAT per room per night for Double Deluxe Rooms, no breakfast. £205.00 plus VAT per room per night for Double Deluxe Rooms for single occupancy inclusive of full English breakfast.
Group Rate Cut-Off: 11 January 2019
The following speakers are confirmed for the event:
Transparency Task Force
Global Client Relations
To register for this free event please click the button below:
Questions? Call us at +1 860 435 2255 or get in touch via our contact page.