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Investment and Asset Management

Regulation in Asset Management 2016

Debating the way forward for regulatory reform

London |
Speakers include:
Martin Parkes

Martin Parkes


Martin Moloney

Martin Moloney

Central Bank of Ireland

Alex Brazier

Alex Brazier

Bank of England


Despite the current turmoil in investment markets, the rising tide of regulation hasn’t receded for asset managers.  With the implementation of MiFID II in sight, the growing threat of a liquidity crisis in bond markets, uncertainty over BREXIT and significant developments in collateral management in derivatives trading, there seems to be no end in sight for the scrutiny of this US$87tn industry.  Do asset managers deserve this level of regulation or this is an industry under siege?  Is it time to fight back?  What steps are global fund managers taking to pre-empt regulation by making innovative changes to their business models?  Can they take a more proactive role in designing rules which not only protect investors but also allow the industry to grow?

Following the overwhelmingly successful inaugural event in March 2015, the Financial Times Regulation in Asset Management conference provides a unrivalled forum where senior EU and national regulators debate alongside CEOs, COOs and CIOs from some of the world’s leading fund houses on how the supervision of this key industry should evolve in the next 12 months. 

fallback Add to my Calendar 02/16/2016 08:15:0002/16/2016 17:10:00trueRegulation in Asset Management 2016Despite the current turmoil in investment markets, the rising tide of regulation hasn’t receded for asset managers.  With the implementation of MiFID II in sight, the growing threat of a liquidity crisis in bond markets, uncertainty over BREXIT and significant developments in collateral management in derivatives trading, there seems to be no end in sight for the scrutiny of this US$87tn industry.  Do asset managers deserve this level of regulation or this is an industry under siege?  Is it time to fight back?  What steps are global fund managers taking to pre-empt regulation by making innovative changes to their business models?  Can they take a more proactive role in designing rules which not only protect investors but also allow the industry to grow?Following the overwhelmingly successful inaugural event in March 2015, the Financial Times Regulation in Asset Management conference provides a unrivalled forum where senior EU and national regulators debate alongside CEOs, COOs and CIOs from some of the world’s leading fund houses on how the supervision of this key industry should evolve in the next 12 months. Regulation-in-Asset-Management-20167f0cee3e69438747896cc274e7fd8dbbMM/DD/YYYY

Speakers (23)

Martin Parkes

Martin Parkes

Director, Government Relations and Public Policy, EMEA

Martin Parkes, Director, is a member of BlackRock's Global Government Affairs and Public Policy team based in London and a member of the Government Relations Steering Committee.  Prior to moving to this role, Mr Parkes was a director in BlackRock's legal team specialising in the regulation of BlackRock's European-managed investment funds. His service with the firm dates back to 2004, including his years with Merrill Lynch Investment Managers (MLIM), which merged with BlackRock in 2006. Prior to joining BlackRock, from 1999 he was an associate in the financial services team of law firm of Eversheds specialising in the regulation of investment funds. Earlier Mr Parkes worked in the financial services team of the law firm of Garretts from 1997 to 1999. He began his career in 1994, training at the law firm of Frere Cholmeley Bischoff.  Mr Parkes holds a bachelor's degree in European law from the University of Exeter and completed the Law Society Final Examination at the College of Law. He is registered as a solicitor in England and Wales.

Martin Moloney

Martin Moloney

Head of Markets Policy Division
Central Bank of Ireland

Martin Moloney is the Head of Markets Policy at the Central Bank of Ireland. He is responsible for the development of regulatory policy in relation to all aspects of the asset management sector operating out of Ireland, including policy covering investment firms, markets, investment funds and related entities. He has represented Ireland on a range of European and global regulatory bodies. Before moving into securities and markets regulation, Mr Moloney held a number of other senior posts in the Central Bank of Ireland and in the Irish Department of Finance. He began his career in banking.

Alex Brazier

Alex Brazier

Executive Director, Financial Stability Strategy and Risk
Bank of England

Alex Brazier was appointed Executive Director, Financial Stability Strategy and Risk (FSSR) with effect from March 2015. In addition to being a member of the Financial Policy Committee (FPC), Mr Brazier’s key responsibilities will include facilitating the effective operation of the FPC, assessment of risks to UK financial stability and overseeing staff analysis of both stress testing and the strategy for the use of macro-prudential tools.  He joined the Bank in 2001 as an economist, and has held a variety of increasingly senior positions over the course of his career, most recently as Principal Private Secretary to the Governor since November 2011. Prior to that, he served as Manager of the Bank’s UK Forecasting Team from 2008-2011, as Economic Assistant and Speechwriter to the Governor from 2005-2008, and as a UK Economic Analyst in the Bank’s Monetary Analysis Directorate from 2001-2005.  Mr Brazier holds an MSc in Economics from the University of Warwick and an MA in Economics from Cambridge University.

Olivier Guersent

Olivier Guersent

Director General, DG for Financial Stability, Financial Services and Capital Markets Union
European Commission

Olivier Guersent is Director General at the DG for Financial Stability, Financial Services and Capital Markets Union at the European Commission.  He joined the European Commission in 1992, initially with the "Merger Task Force" in the Directorate-General for Competition. Since then, he has alternated between the private offices of a number of European Commissioners (Karel Van Miert, Michel Barnier and Neelie Kroes) and DG Competition (successively Deputy Head of Unit in charge of cartels, Head of Unit in charge of policy and coordination of cases, Head of Unit in charge of merger control, Acting Director “Transport, postal and other services" and, from 2009, Director responsible for the fight against cartels. From 2010 to 2014 he was the head of the private office of Michel Barnier, Commissioner for Internal Market and Services. Having held the position of Deputy Director-General since July 2014, Mr Guersent has been Director-General of the Directorate-General for Financial Stability, Financial Services and Capital Markets Union since 1 September 2015. Mr Guersent graduated with distinction from the “Institut d’Etudes Politiques de Bordeaux” in 1983. He is a member of the board of of the non-profit organisation Aremis and is a regular lecturer to postgraduate university students.

Helena Morrissey

Helena Morrissey

Chief Executive Officer
Newton Investment Management

Helena Morrissey joined Newton in 1994 as a fixed income fund manager and was appointed as Chief Executive Officer in 2001. Newton manages around £50bn for pension funds, charities and through funds available to individuals. In June 2014 Ms Morrissey was appointed Chair of the Investment Association, the United Kingdom’s industry trade body, whose members manage £5trn.Recently, Ms Morrissey was appointed by the Chancellor of the Exchequer to the UK’s Financial Services Trade and Investment Board. In 2010, Ms Morrissey founded the 30% Club, a cross-business initiative aimed at achieving 30% women on UK corporate boards. Ms Morrissey has been named one of Fortune Magazine’s World’s 50 Greatest Leaders.In 2013 and in 2014 she was voted one of the 50 Most Influential People in Finance globally by Bloomberg Markets. She was appointed CBE in the 2012 New Year’s Honours list. A Cambridge philosophy graduate, she began her career with Schroders in New York.

Jean-Marc Goy

Jean-Marc Goy

Counsel for International Affairs
Commission de Surveillance du Secteur Financier (CSSF)

Jean-Marc Goy is the Counsel for International Affairs of the Commission de Surveillance du Secteur Financier (CSSF), the Luxembourg Supervisory Authority of the Financial Sector, where he is in charge of communication and relations with foreign Supervisory Authorities, in particular in the field of investment management.  He represents the CSSF on a number of international forums, such as the European Securities and Markets Authority (ESMA) Investment Management Standing Committee and its SubGroups, the International Organization of Securities Commissions (IOSCO) and the Enlarged Contact Group.  He lectures at the University of Luxembourg and he is the Vice President of the Board of the Luxembourg Institute of Socio Economic Research (LISER).  Before joining the CSSF in 1998, Mr Goy worked as an attorney atlaw for a Luxembourg law firm.  He holds a Master of Laws and a postgraduate degree from the University of Montpellier.

Saker Nusseibeh CBE

Saker Nusseibeh CBE

CEO, International
Federated Hermes

Saker Nusseibeh is CEO, International of Federated Hermes.  He was appointed CEO of Hermes Investment Management in 2011 having joined in 2009 as CIO. He is also a member of the Federated Investors Executive team. Prior to Hermes, Saker was Global Head of Equities at Fortis Investments, having previously been CIO Global Equities since 2005. Before this, he was CIO of Global Equities and Head of Marketing for SGAM UK. This followed SGAM’s acquisition of Trust Company of the West, where Saker was a Managing Director running global and international strategies, as well the London office. He started his career at Mercury Asset Management in 1987.  Saker is founder of the 300 Club and was an inaugural member of the CFA Institute’s Future of Finance Advisory Council from 2013 until 2019. He is a member of the IIRC Council, the FCA-PRA Climate Financial Risk Forum, the United Nations Environmental Programme Financial Initiative Steering Committee, the Banking Standards Board, the UK National Advisory Board on Impact Investing, and the advisory Board of the National Youth Orchestra.  In 2018, Saker was named CEO of the Year at the Financial News Asset Management Europe Awards. He has a BA and PhD in Medieval History from King's College, University of London. Saker was awarded a CBE (Commander of the Order of the British Empire) in the Queen’s 2019 New Year's Honours list for services to Responsible Business and Finance. 

Norman Champ

Norman Champ

Former Director of the Division of Investment Management
US Securities and Exchange Commission

Norm Champ is the former Director of the Division of Investment Management at the SEC. Under his leadership, the SEC adopted a new rule in July 2014 to reform money market mutual funds.  He also led the creation of the Division’s Risk and Examination Office and was the leader of the SEC’s interactions with the Financial Stability Oversight Council. He also worked on crisis management efforts at securities firms to protect customers of those firms. Mr. Champ also headed the creation of Guidance Updates and Senior Level Engagement, and recommended that the Commission adopt the portion of the Volcker Rule. Prior to becoming the Director of the Division of Investment Management, Mr Champ was the Deputy Director of the SEC’s Office of Compliance, Inspections and Examinations (OCIE) and the Associate Regional Director for Examinations in the SEC’s New York Regional Office.  Before joining the SEC in 2010, Mr Champ was Executive Vice President and General Counsel of Chilton Investment Company and was previously at the law firm of Davis Polk & Wardwell.  From 1990 to 1992, Mr. Champ clerked for the Honorable Charles S. Haight, Jr. of the U.S. District Court for the Southern District of New York.  Mr Champ holds an A.B., summa cum laude, in History from Princeton University and a J.D., cum laude, from Harvard Law School.  He was a Fulbright Scholar at King’s College London from where he holds an M.A. in War Studies.

Alexander Schindler

Alexander Schindler

President, European Fund and Asset Management Association
Member of the Executive Board, Union Asset Management Holding

Alexander Schindler became a member of the executive board of Union Asset Management Holding AG, Frankfurt in 2004. He is responsible for institutional client business and international business activities. He is also member of the board of directors of BEA Union Investment Management Limited, Hong Kong since 2007. He was elected as the president of EFAMA, the European Fund and Asset Management Association, in 2015. Prior to joining Union Investment, Mr Schindler held senior positions in several German asset management companies. He is is a qualified banker and a lawyer (assessor) by profession.

Matthieu Lucchesi

Matthieu Lucchesi

Deputy Head of the Asset Management Regulation Division
Autorité des marchés financiers (AMF)

Matthieu Lucchesi is Deputy Head of the Asset Management Regulation Division at the Autorité des marchés financiers (AMF).   He joined the AMF in 2012 after working as a lawyer in corporate and securities Law in New York.  He worked first as a legal expert for the team supervising investment funds and their asset managers. Its expertise covered a vast array of regulations including AIFMD, UCITS and EMIR.  He then joined the Regulation Policy and International Affairs department where he is now involved in major reforms for the asset management sector at a European and international level.  Mr Lucchesi graduated from University Paris II Panthéon Assas in 2009 and Harvard Law School in 2011.  

Neil Sweeney

Neil Sweeney

Global Head of Compliance
Aberdeen Asset Management

Neil Sweeney joined Aberdeen as Global Head of Compliance in 2013 and is responsible for Aberdeen’s regulatory compliance function. He joined Aberdeen from HSBC Global Asset Management where he worked from 1996, having also headed the global compliance function there.  Previously Mr Sweeney worked at the Investment Management Regulatory Organisation (IMRO) and PwC. He holds a BSc in Mathematics from Bristol University and is a Chartered Accountant.

Vanaja Indra

Vanaja Indra

Market and Regulatory Reform Director
Insight Investment

Vanaja Indra joined Insight in 2011 and is responsible for helping Insight’s investment business to understand the impact of regulatory and market structure reforms and to respond to them effectively. Prior to joining Insight, she held a position at the Financial Services Authority working on industry reform for OTC derivatives and, in particular, on central clearing initiatives. Ms Indra started her career in 2000 at Goldman Sachs where she was responsible for structuring credit derivatives transactions. Following this she worked at Cairn Capital where she was responsible for structuring and marketing credit investment vehicles. Ms Indra holds a first class degree in Mathematics from Imperial College London and an MSc in Operational Research from the London School of Economics.

Amin Rajan

Amin Rajan

Chief Executive Officer

Amin Rajan is the CEO of CREATE–Research, a UK based think tank that specialises in the future trends in the global fund management industry.  He is the author of numerous acclaimed reports on the industry’s evolving dynamics and the responses they require. By developing special insights in the emerging business models and their successful execution, Mr Rajan also offers strategic advisory services to CEOs and CIOs as they grapple with the new industry dynamics.  In the last 10 years, he has undertaken advisory assignments with numerous prominent fund managers around the world in areas like strategic change, investment performance, client service, product innovation and talent management. He has contributed feature articles to FTfm, Financial News, Investment & Pensions Europe, and Global Investor.

Neil Donnelly

Neil Donnelly

Global Head of Compliance
Pioneer Investments

Neil Donnelly was appointed Global Head of Compliance at Pioneer Investments in June 2013. He was formerly Global Co-ordinator for Legal & Compliance at Pioneer Global Asset Management S.p.A. and from 2002 until 2010 served as Head of Legal & Compliance with Pioneer Alternative Investments.  Prior to joining Pioneer Investments, Mr Donnelly was Company Lawyer with Baring Asset Management in London. Befire this he worked for international Law Firm Norton Rose in London and from as a tax adviser with KPMG in Dublin.  He was a member of the European Commission’s Expert Group on Alternative Investments in 2006 and the Commission’s Working Group on Private Placement of Investment Funds in 2008.  Mr Donnelly holds a BCL Degree from University College Dublin and a Barrister at law Degree from Kings Inn, Dublin.  He was called to the Irish Bar in 1994.

Thomas Neumann

Thomas Neumann

Head of Investment Supervision
Federal Financial Supervisory Authority - BaFin

Thomas Neumann has been Head of Investment Supervision at the German Federal Financial Supervisory Authority, BaFin since 2005, with responsibility for issues of supervision, domestic and international policy in Collective Investment Schemes.  He has worked for BaFin (and its predecessor BAKred) since 1986. After working for periods in the banking supervision and the legal department of the BAKred Mr Neumann joined the Collective Investment Scheme Supervision Department where from 1993 he was head of various units.

Erik Vynckier

Erik Vynckier

Board Member
Foresters Friendly Society

Erik Vynckier joined AllianceBernstein as Chief Investment Officer, Insurance (EMEA) in September 2013. He is responsible for developing and implementing asset management solutions to support the investment, capital management and product development ambitions of insurers. Before joining AllianceBernstein, Mr Vynckier managed with-profits and annuity funds at Scottish Widows Investment Partnership. He previously managed the Group Risk Hub of Standard Life, hedging equity, interest rate and currency risks of with-profits and variable annuities to secure the balance sheet.  Before that, Mr Vynckier worked at investment banks Credit Suisse First Boston and HSBC, in equity program trading, quantitative development and pension fund and insurance asset-liability management.   Prior to his MBA,he held R&D, production and strategy positions in the petrochemical industry in France, Belgium, Germany, the United States and the United Kingdom.  He has also founded and served as board member of  Mr Vynckier graduated as a Chemical Engineer from Universiteit Gent (Belgium) and holds an MBA from London Business School in 2000.

Barry Hadingham

Barry Hadingham

Head of Derivatives and Counterparty Risk
Aviva Investors

Barry Hadingham is Head of Derivatives and Counterparty Risk at Aviva Investors and was recently appointed as the designated Derivatives Officer for UK operations.  He is also leading the work to evaluate the impact of the EMIR and Dodd-Frank OTC clearing regulations and implementation of the necessary infrastructural changes. He joined Aviva Investors in 2005 and holds a number of years experience in financial services, having spent a considerable amount of that time working in derivatives related roles within banking, insurance and asset management.   Mr Hadingham is a member of the Association of Chartered Management Accountants (ACMA) and is based in London.

Cora Gibbons

Cora Gibbons

Head of Product and Fund Development
Baring Asset Management

Cora Gibbons joined Barings as Head of Product Development in 2013 and is responsible for all aspects of product and fund development globally.  She has a depth of technical experience in product management, product development and strategy particularly in Europe and Asia. Prior to joining Barings, Ms Gibbons worked in senior Product Strategy and Development roles with several large global asset managers including Invesco and Allianz Global Investors in Frankfurt. She began her career in asset management with Bank of Ireland Asset Management where she worked in business development and client services in Dublin and Frankfurt, followed by Consultant Relations Management at Fortis Investments in Paris.  Ms Gibbons graduated in Law and German from Trinity College Dublin and holds an Executive MBA from ESSEC and Mannheim Business School.

Paulina Dejmek Hack

Paulina Dejmek Hack

Economic Advisor, Cabinet Jean-Claude Juncker
European Commission

Paulina Dejmek Hack is economic adviser to the President of the European Commission, Jean-Claude Juncker.  She joined the European Commission in 2004, after having worked in a law firm in Frankfurt am Main and at the EFTA Surveillance Authority in Brussels where she was responsible for financial services, capital movements and company law. After a couple of years in the unit for insurance and pensions in DG MARKT, Ms Dejmek Hack joined the Legal Service of the Commission in 2007, providing legal advice on financial services and financial market matters. During the Swedish EU Presidency in 2009, she was seconded to the Swedish Permanent Representation as financial attaché. Ms Dejmek Hack joined the private office of Commissioner Michel Barnier, subsequently Vice-President of the European Commission, in 2010. She was the Deputy Head of Cabinet between February and October 2014. Ms Dejmek Hack holds a Master of Laws degree from the University of Lund, Sweden, and a doctorate degree from the University of Heidelberg, Germany.

 Alan Miller

Alan Miller

Founding Partner
SCM Private

Alan Miller is co-founder of SCM Private, which launched in June 2009. He was previously co-founder and Chief Investment Officer of New Star from 2001 to 2007. Prior to New Star, he headed up the High Performance Team at Jupiter Asset Management, where he launched the first UK Long/ Short equities hedge fund.  Mr Miller is also a non-executive director of Tissue Regenix Plc, a regenerative medical device company, and is a qualified accountant.   He is an alumni of the London Business School, where he studied investment management under the esteemed Professor Elroy Dimson.

Roderick Munsters

Roderick Munsters

Former Chief Executive Officer
Robeco Group

Roderick Munsters was Chief Executive Officer of Robeco Group from 2009 to November 2015. As part of his role he was directly responsible for Robeco’s subsidiaries RobecoSAM (Sustainable Investing in Zurich) and Harbor Capital advisors (US multi-manager in Chicago).  Between 2005 and 2009 Mr Munsters was member of the Executive Board and Chief Investment Officer of ABP and APG All Pensions Group. From 1997 until 2005 he was a member of the Executive Board (Investments) of PGGM.  He held a range of positions at the investment department of Insurance Company Interpolis between 1989 and 1997.  Mr Munsters is a member of the Capital Markets Committee of Dutch financial markets regulator Autoriteit Financiële Markten (AFM). He was Chairman of Eumedion (the Dutch Corporate Governance Forum) from 2006 until 2009. He is currently a member of the Board of Boijmans van Beuningen Museum.  Mr Munsters holds degree in Corporate Finance and a Masters degree in Financial Economics from the University of Tilburg.

Philip Warland

Philip Warland

Senior Public Policy Advisor
Fidelity Worldwide Investment

Philip Warland was appointed as Senior Public Policy Advisor of Fidelity International in 2009. He has spent more than thirty years in the financial services industry. After twenty years with the Bank of England in the Governor’s office and as Chief Press Officer he worked with Standard Chartered Bank as a Group Deputy General Manager. Mr Warland then moved on to spend ten years as Director General of the UK’s asset management trade association, now the Investment Management Association. This gave him a detailed knowledge of the industry which he both used and added to from 2001 to 2006 when he was a Senior Adviser with the Investment Management practice of PricewaterhouseCoopers in London and Brussels. In 2006 he joined the City headhunters Halsey Consulting. Mr Warland was the founder-chairman of the Oasis Charitable Trust in 1986. It operates with disadvantaged young people in eleven countries and is the sponsor of nineteen City Academies in the UK. He chaired the trust until 2006.

Sean Tuffy

Sean Tuffy

Senior Vice President and Head of Regulatory Intelligence
Brown Brothers Harriman

Sean Tuffy is a Senior Vice President and Head of Regulatory Intelligence at Brown Brothers Harriman. He has 15 years of experience in the cross-border fund industry. Mr Tuffy joined BBH in 2006, prior to which he worked at State Street Corporation in Boston and Dublin. He participates actively in industry groups, including the Irish Funds Industry Association, International Securities Lending Association and the Association of Global Custodians. Mr Tuffy holds a BS degree in business administration from Mary Washington College.


Chair and Moderators (4)

Chris Newlands

Chris Newlands

Editor, FTfm
Asset Management Editor, Financial Times

Chris Newlands is  the Financial Times’ asset management editor as well as the editor of its fund management section, FTfm. Before that he was managing editor of Ignites Europe, the FT's fund management newswire, joining the FT Group in 2003 as a senior reporter from EuroWeek. Mr Newlands is also author of the Virgin Money Maker, the personal finance guide published by Virgin Books, and has written for FT Wealth, The Banker, Euromoney, TimeOut, CNN and the Guardian. He is a graduate in Economics.

David Ricketts

David Ricketts

Associate Editor
Ignites Europe

David Ricketts joined the Financial Times Group in 2007 as a reporter on Pensions Week, where he covered the UK occupational pensions market. He subsequently joined Ignites Europe, the Financial Times' online asset management news service, where he was part of the editorial team which launched the online publication in 2008. He is now Associate Editor and reports on regulatory developments affecting the European asset management industry. He has also written for FTfm and MSN Money. Mr Ricketts holds a degree in English literature and American studies from the University of Hull and a postgraduate diploma in newspaper journalism from Cardiff University.

Philip Alexander

Philip Alexander

Global Risk Regulator Magazine

Philip Alexander is the editor of Global Risk Regulator,  He is also Senior Editor of The Banker, responsible for covering regulation and investment banks.  . Previously, he was Deputy Editor of Euromoney's Emerging Markets newspaper. Before moving into journalism, Mr Alexander edited credit research for international ratings agency Standard & Poor's. He has a doctorate in Modern History from the University of Cambridge

Yuri Bender

Yuri Bender

PWM (Professional Wealth Management)

Yuri Bender is a journalist covering banking, asset management and capital markets. He has launched and edited several magazines and websites at the Financial Times group and is currently Editor-in-Chief of the Professional Wealth Management global magazine, website and events hub. He moderates panel discussions on financial, business and cultural issues in Europe, the US, Middle East and Asia.  He has reported from Indonesia, Malaysia, China, Kazakhstan, Russia and Ukraine for the FT Wealth magazine and writes regularly for FTfm, the fund management section of the FT newspaper. He studied Investment Management at the London Business School and International Relations at Cambridge University, writing his thesis on the economics of armed conflict.


Agenda - 16th Feb

  • 8:15am
    Registration and refreshments
  • 9:00am
    Welcome remarks from the Chair

    Philip Alexander, Editor, Global Risk Regulator

  • 9:10am
    Opening Keynote Address

    Olivier Guersent, Director General, DG Financial Stability, Financial Services and Capital Markets Union, European Commission

  • 9:40am
    Panel: Is it time for a rethink of regulation adopted during the crisis?

    As Europe struggles towards economic recovery should regulators look to rebalance investor protection against the importance of promoting growth in asset management?

    • Taking a step back – what regulatory measures have worked and what haven’t?
    • The dilemma of devising regulation which balances investor protection, market integrity and financial stability
    • Is there a need for a global framework in fund regulation?
    • Staying ahead of the market – predicting the new regulatory challenges including digitisation, outsourcing, systemic risk and more

    Joe Bannister, Chairman, Malta Financial Services Authority

    Matthieu Lucchesi, Deputy Head of Asset Management Regulation Division, Autorité des marchés financiers (AMF)

    Thomas Neumann, Head of Investment Supervision, Federal Financial Supervisory Authority - BaFin

    Norman Champ, Former Director of the Division of Investment Management, US Securities and Exchange Commission

    Jean-Marc Goy, Counsel for International Affairs, Commission de Surveillance du Secteur Financier (CSSF)

    Moderator: Philip Alexander, Editor, Global Risk Regulator

  • 10:30am
  • 11:00am
    Panel: Regulatory disruption – is regulation a positive or negative agent of change in asset management?

    Regulation is here to stay in asset management but what consequences is it having for the industry?  Do the benefits outweigh the costs and how are large and small businesses adapting?

    • Assessing the positives and negatives of increased regulation on asset management in recent years
    • Is it time for the industry to accept more regulation to counter concerns about systemic risks?
    • Should regulatory authorities be viewed as allies in rebuilding trust with investors?

    Saker Nusseibeh, Chief Executive, Hermes

    Roderick Munsters, Former Chief Executive Officer, Robeco Group

    Neil Sweeney, Global Head of Compliance, Aberdeen Asset Management

    Amin Rajan, Chief Executive Officer, CREATE-Research

    Moderator: Yuri Bender, Editor-in-Chief, Professional Wealth Management (PWM)

  • 11:50am
    Keynote Interview: Brexit – how could this impact on the UK’s fund industry?

    With an in-out referendum on the table for 2017, what implications would a UK exit from the EU have on the asset managers?  What scenarios are being considered in the case of a soft exit or a complete withdrawal?

    Helena Morrissey, Chief Executive Officer, Newton Investment Management 

    Interviewed by: Yuri Bender, Editor-in-Chief, Professional Wealth Management (PWM)

  • 12:20pm
    Panel: Is the industry ready for MiFID II?

    How prepared are asset managers for MiFID II?  What will be the impact on the investment fund distribution landscape?

    • The nitty gritty – where are the key areas of contention in trade execution, capital requirements, reporting and risk management?
    • What opportunities may MiFID II present to market operators?
    • The prospects for differing national interpretations of MiFID II provisions and the potential for regulatory arbitrage in the market
    • Implications for product and pricing in the long-term

    Cora Gibbons, Head of Product and Fund Development, Baring Asset Management

    Alan Miller, Co-Founder, SCM Private

    Neil Donnelly, Global Head of Compliance, Pioneer Investments

    Moderator: David Ricketts, Associate Editor, Ignites Europe

  • 1:00pm
    Networking lunch
  • 2:00pm
    Interview: Regulating liquidity – the next big challenge?

    As the asset managers increase the amount of bonds they have on their books, regulators are contemplating the implications of interest rate normalisation on the market and the potential for a sell off.  How can this liquidity be regulated in practice and what impact could it have on the market?

    Martin Moloney, Head of Markets Policy Division, Central Bank of Ireland

    Interviewed by: Philip Alexander, Editor, Global Risk Regulator

  • 2:30pm
    Discussion: Managing liquidity risk in asset management – what is the best way forward?

    Identifying the risks associated with market liquidity and asset management activities continues to be top priority for regulators.  What role can the industry play in shaping policy to ensure financial stability?

    • Illusion or reality - are current concerns about market liquidity well founded?  Is it more resilient than we think?
    • Stress tests  - what role can they plan in managing the downside risks of market turbulence for asset managers?
    • Squaring the circle in the mismatch between the liquidity of fund investments vs the redemption terms for fund units
    • Is embedded leverage a crisis in the making for investors and their managers?

    Alex Brazier, Executive Director for Financial Stability Strategy and Risk, Bank of England

    Martin Parkes,  Director, Government Relations and Public Policy, EMEA, BlackRock

    Martin Moloney, Head of Markets Policy Division, Central Bank of Ireland

    Philip Warland, Head of Public Policy, Fidelity Worldwide Investment

    Moderator: Chris Newlands, Editor, FTfm and Asset Management Editor, Financial Times

  • 3:20pm
  • 3:40pm
    Panel: Meeting the collateral challenge in derivatives clearing

    After some delay, derivatives clearing is set to phase in in Europe in 2016.  Is the asset management industry ready for the wide-ranging changes related to collateral management and the resulting potential implications for fund performance?

    • What are the key questions over EMIR implementation?
    • What are the best strategies for adapting collateral and liquidity management functions under the new rules?
    • Key cross border implementation challenges

    Barry Hadingham, Head of Derivatives and Counterparty Risk, Aviva Investors

    Anja Kleefsman, Investment Manager Treasury, PGGM Investments

    Erik Vynckier, Board Member, Foresters Friendly Society

    Vanaja Indra, Market and Regulatory Reform Director, Insight Investment

    Moderator: Philip Alexander, Editor, Global Risk Regulator

  • 4:20pm
    Discussion: What will the proposed Capital Markets Union mean for asset management?

    Capital Markets Union is the next stage in the reform of the European financial services sector.  What does it mean and how will it work in practice?  What role can asset managers play in shaping the CMU and what opportunities and challenges will it bring to this key sector?

    Paulina Dejmek-Hack, Economic Advisor, Cabinet Jean-Claude Juncker, European Commission

    Alexander Schindler, President, European Fund and Asset Management Association & Member of the Executive Board, Union Asset Management Holding

    Sean Tuffy, Senior Vice President and Head of Regulatory Intelligence, Brown Brothers Harriman

    Moderator: David Ricketts, Associate Editor, Ignites Europe

  • 5:10pm
    Closing remarks from the Chair, following by Evening Drinks Reception

Who Attends

'Regulation in Asset Management' has been produced to meet the needs of banking and finance professionals, including those from:

  • Regulatory bodies
  • Institutional investors
  • Asset management firms
  • Third party service providers
  • Law firms
  • Consultancy firm
  • Technology firms

Complimentary places are available for senior investment professionals operating in the following areas:

  • Regulatory Bodies
  • Institutional Investors

Key Topics

Keynote addresses, interview and lively discussions will analyse and examine:

  • Bond market liquidity – the next big challenge for regulators and the market?
  • Capital Markets Union – what role should asset managers play in its creation?
  • Systemic risk – should all fund management firms be treated equally to determine risks to financial stability?
  • Arbitrage or convergence – is a global framework needed in asset management regulation?  Hear the views of key regulators and asset managers
  • Digitisation – how do regulators plan to supervise the rapidly growing use of technology in fund management and investment?
  • MiFID II – what will the future hold for product development and fund distribution?
  • Regulatory disruption – is regulation a positive or negative agent of change in asset management?  How is it impacting on business models?
  • Regulatory roadmap – what are the priorities for regulators in the coming years?  What has been learned from the past?  How can regulators work with the industry to ensure better outcomes for all?


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London EC4V 2AD
Tel: 020 7248 3923



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Financial Times Regulation in Asset Management
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Painters' Hall, 9 Little Trinity Lane, London EC4V 2AD
Tuesday 16th February 2016

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Organisers (2)

The Financial Times is one of the world’s leading business news organisations, recognised internationally for its authority, integrity and accuracy. The FT has a record paying readership of one million, three-quarters of which are digital subscriptions. It is part of Nikkei Inc., which provides a broad range of information, news and services for the global business community.

FTfm is the touchstone for the global fund management industry. It provides news, trend analysis, interviews, debate and thought leadership to the world's top asset managers and institutional investors, as well as prices.

Distributed every Monday throughout Europe and Asia, with a monthly US edition, it is unique in the market place, delivering focused editorial with a huge distribution.FTfm is read by institutional and professional investors, analysts, traders, C-Suite executives, consultants and other corporates and professionals interested in the global asset management industry.

FTfm is also available online at FTfm's extra online content includes video interviews with industry members; Q&As with key figures; Comment & Opinion, where readers can discuss FT editorial. Readers can also register for the free weekly FTfm email update.

For our advertisers, it provides access to the World's leading asset managers and investors.

Gold Sponsor (1)

Brown Brothers Harriman (BBH) is a privately owned and managed financial services firm. We serve sophisticated individuals and institutions with expertise in Private Banking, Investment Management, and Investor Services.

Our Investor Services business line provides cross-border custody, accounting, administration, transfer agency and related services in close to 100 markets for many of the world’s leading asset managers and financial institutions. With $4 trillion in assets under custody1, BBH is consistently ranked among the world's top asset servicers.2 

For more information please visit: 

1 As of September 30, 2015. 
2 As measured by results in major industry surveys.

Silver Sponsor (1)

Thomson Reuters is the world's leading source of intelligent information for businesses and professionals. We combine industry expertise with innovative technology to deliver critical information to leading decision makers in the financial and risk, legal, tax and accounting, intellectual property and science and media markets, powered by the world's most trusted news organization.Thomson Reuters shares are listed on the Toronto and New York Stock Exchanges. For more information, go to:

Supporting Partners (3)

The genesis of the Malta Funds Industry Association, MFIA, dates back to 22 September 2003. Following Malta's accession to the European Union on 1 May 2004, the industry witnessed an increased interest by international fund promoters to domicile their funds in Malta. This was without doubt driven by a number of success factors which amongst others, included the presence of a comprehensive legal and regulatory framework, cost competitiveness and a professional business environment. As a result of these developments, the Association broadened its remit to represent the interest of fund administrators, following the initiative taken by the main market players at that time to set up specialist fund administration operations and with a clear distinction from fund management business. The strong growth of the industry in these last few years subsequently necessitated that the Association reviews its statute to encompass a wider spectrum of practitioners actively involved in the funds industry.

The MFIA acts as a channel of communication and to make representations to the Maltese Government and the Malta Financial Services Authority on legislative, regulatory and fiscal matters which amongst others, directly or indirectly, have an effect on the business and/or professional interests of its members. The Association is also a member of the European Funds and Asset Management Association.

The Association of the Luxembourg Fund Industry (ALFI) is the representative body of the Luxembourg investment fund community. Created in 1988, the Association today represents over 1,500 Luxembourg domiciled investment funds, asset management companies and a wide range of service providers such as depositary banks, fund administrators, transfer agents, distributors, legal firms, consultants, tax experts, auditors and accountants, specialist IT providers and communication companies. The Luxembourg Fund industry is the largest fund domicile in Europe and a worldwide leader in cross-border distribution of funds. Luxembourg-domiciled investment structures are distributed on a global basis in more than 70 countries with a particular focus on Europe, Asia, Latin America and the Middle East.

For further information, do not hesitate to consult our website at

You can also keep up to date with the discussion by following @ALFIfunds on Twitter or join ALFI’s LinkedIn group.

As the global hedge fund association, the Alternative Investment Management Association (AIMA) has over 1,500 corporate members (with over 8,000 individual contacts) worldwide, based in over 50 countries. Members include hedge fund managers, fund of hedge funds managers, prime brokers, legal and accounting firms, investors, fund administrators and independent fund directors. AIMA’s manager members collectively manage more than $1.5 trillion in assets.

Interested in Sponsoring?

For sponsorship opportunities, please contact Nawshad Noorkhan:

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