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Overview

Hear from leading industry experts on the key issues facing compliance professionals in the investment management and financial advice world at the PIMFA Compliance Conference 2018. Bringing together a high-level audience who can engage with the experts, this conference will facilitate fruitful discussions with opportunity for questions and networking.

Please see agenda for more details.

Speakers

Karen Anderson
Partner Financial Services Regulatory
Herbert Smith Freehills
John Barrass
Deputy CEO
PIMFA
Ian Cornwall
Director of Regulation
PIMFA
Clive Gordon
Head of Retail Investments Department Management Supervision
Financial Conduct Authority (FCA)
Hywel Jenkins
Partner, Financial Services Regulatory      
Herbert Smith Freehills
Andre Pretorius
Partner, Competition
Herbert Smith Freehills
Mark Turner
Managing Director, Regulatory Consulting
Duff and Phelps

Sponsors

Agenda

09:00               Registration & Networking Breakfast

09:30               Welcome

                        Ian Cornwall, Director of Regulation, PIMFA

09:35               MiFID II, PRIIPs and GDPR – Outstanding issues

                        Ian Cornwall, Director of Regulation, PIMFA

10.35               BREXIT  – An overview of the process leading up to the break with Europe identifying actions that firms should be considering now

                        John Barrass, Deputy CEO, PIMFA

11:20               Coffee Break & Networking

 11:40               SMCR- What is the impact on the compliance function and the role of the CF10?
What are the ‘reasonable steps’ that the senior manager responsible for compliance function should be taking?

                        Hywel Jenkins, Partner, Financial Services Regulatory, Herbert Smith Freehills          

 12:40              How does competition law impact on your business? What does FCA’s competition remit mean for your business?

                        Andre Pretorius, Partner, Competition, Herbert Smith Freehills

                        Karen Anderson, Partner Financial Services Regulatory, Herbert Smith Freehills

13:25               Networking Lunch

 

14:25              Three lines of defence – the evolution of functional operating models, individual accountability, and applying the principles to all firms including smaller firms

                        Mark Turner, Managing Director, Duff and Phelps

 15:00               Coffee Break & Networking

15:30               Key messages for PIMFA members

                        Clive Gordon, Head of Retail Investments Department Management Supervision, Financial Conduct Authority (FCA)

 16:00               Closing Remarks

                        Ian Cornwall, Director of Regulation, PIMFA

Compliance Conference Agenda 2018

Tickets

Details

Date:
June 14
Time:
9:00 am - 4:00 pm
Cost:
£249 - £499
Event Categories:
,

Other

CPD Hours
5

Venue

Herbert Smith Freehills
Exchange House, Primrose St
London, EC2A 2EG United Kingdom
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