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Overview

This year’s full day conference will bring together a high-level audience who can engage with the leading industry experts and discuss the key issues facing compliance professionals in the personal investment management and financial advice world.
There will be plenty of opportunity for questions, discussion and networking with other professionals and advisers in the area of Compliance.
More details including the agenda will be available shortly.

Sponsors

Agenda

08:30               Registration & Networking Breakfast

09:00               Welcome

                        Ian Cornwall, Director of Regulation, PIMFA

09:05               MiFID II, PRIIPs and GDPR – Outstanding issues

                        Ian Cornwall, Director of Regulation, PIMFA

10.05               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

10:50               Coffee Break & Networking

 11:10               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          

 12:10              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

12:55               Networking Lunch

 

14:25               Three lines of defence – what factors determine whether firms have a good defence
and how are the principles applied 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

PIMFA Compliance Conference Agenda 2018

Tickets

66 available
PIMFA Compliance Conference 2018 - Members - Ticket£249.00 ex. VAT

Please fill in all required fields

30 available
PIMFA Compliance Conference 2018 - Non-Member - Ticket£499.00 ex. VAT

Please fill in all required fields

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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