FUND LEGAL, REGULATORY & COMPLIANCE FORUM AGENDA

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For legal, compliance, regulatory, due diligence, plus reporting focussed fund professionals in mind, seeking to address how fund and wider investment teams endeavour to maintain the highest standards of operational procedures in line with local and international legal standards, addressing issues including; navigating the ESG regulatory landscape, preparing for crypto currency & blockchain regulation & compliance, defining the protection strategies to ensure business information security, the benefits and challenges of digital transformation, and the automation of regulatory reporting.

Fund Legal, Regulatory & Compliance Forum

8:15 AM - 3:30 PM

DAY TWO: WEDNESDAY 16TH NOVEMBER

8:15 AM - 9:10 AM

BREAKFAST AND NETWORKING

9:15 AM - 9:20 AM

CHAIRMAN'S OPENING ADDRESS

9:20 AM - 10:00 AM

KEYNOTE PRESENTATION: Addressing the tide of greenwashing - what can fund operators expect from regulatory attempts to make managers responsible for their ESG statements

Mark Manning

Technical Specialist

Sustainable Finance & Stewardship, FCA

10:00 AM - 10:30 AM

KEYNOTE PRESENTATION: TBC

10:30 AM - 11:15 AM

ROUNDTABLE DISCUSSION: Re-defining operational resilience: required budgeting for black swan events, technology fail scenarios, and the growth of cyber security threats

● Finance: financing, financial risks ● Tech & Data: doing, the talent, the day-to-day running (application) ● Legal: law, regulation, reporting, oversight

Erik Vynckier

Non Executive Member Director

Foresters Friendly Society
Angus Milne

Director Risk & Compliance

TCI Fund Management
Mario De Bergolis

Chief Operating Officer

Asset Management One International

11:15 AM - 11:45 AM

MORNING REFRESHMENTS & NETWORKING

11:45 AM - 11:50 AM

FUND LEGAL, COMPLIANCE & REGULATORY FORUM: Chairperson's Opening Remarks

11:50 AM - 12:20 PM

FUND LEGAL, COMPLIANCE & REGULATORY FORUM: Keynote Presentation: Navigating the rapidly evolving ESG regulatory landscape: impacts, implications, and strategic considerations for fund compliance and regulatory teams

Michael Collins

Director Government Affairs

M&G

12:20 PM - 1:05 PM

FUND LEGAL, COMPLIANCE & REGULATORY FORUM: Head to Head: Is the adoption of crypto currency and blockchain inevitable and how can firms prepare for the expected regulation and compliance ramifications?

Nic Basson

Chief Operating Officer

Old Street Digital
Christophe Sailland

Chief Executive Officer

Helford Capital Partners

1:05 PM - 2:00 PM

NETWORKING LUNCH

2:00 PM - 2:30 PM

FUND LEGAL, COMPLIANCE & REGULATORY FORUM: Keynote Presentation: The Princess and the Pea: Digitalising the AML/KYC process in the investment management industry

Pierre-Yves Rahari

Partner

AlgoMe Consulting

2:30 PM - 2:55 PM

FUND LEGAL, COMPLIANCE & REGULATORY FORUM: Keynote Presentation: Taking Britain Back? The impact of HM Treasury's Future Regulatory Framework (FRF) Review on the City and its relationship with the EU

2:55 PM - 3:30 PM

FUND LEGAL, COMPLIANCE & REGULATORY FORUM: Roundtable Discussion: The benefits and challenges of digital transformation and the automation of regulatory reporting

Antoine Sineau

Head Of Compliance

Nordea Investment Funds S.A.
James Witt

Chief Legal Officer EMEA

PineBridge Investments
Rich Morris

Director Legal & Compliance

Ontario Municipal Employees' Retirement System

3:30 PM - 3:30 PM

END OF CONFERENCE

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