ADVANCED

Cordium’s Annual Conference: 7th June 2017

 

Bloomberg’s London office, City Gate House, 39-45 Finsbury Square, EC2A 1PQ

Agenda

11.00am – 11.30am: Registration and coffee

11.30am – 11.45am: Welcome and introduction
Doug Morgan, Group CEO, Cordium

Panel Session:
11.45am – 12.30pm: MiFID II – The Clock is Ticking
With just a few months to go, how prepared will firms be for complying with MiFID II on January 3rd? This panel will cover some of the practical challenges firms are facing with implementation of the new rules.
Moderator: Jon Wilson, Projects Director, Cordium
Panellists:
Charlotte Malin, Senior Consultant, Cordium
John Morton, Application Specialist, Bloomberg
Paul Sutton, Director, Knadel
Simon Thomas, Partner, Macfarlanes

12.30pm – 1.30pm: Lunch

1.30pm – 1.40pm: Welcome back and introduction for afternoon
Philip Naughton – Managing Director, Head of UK Compliance, Cordium

Fireside Chat:
1.40pm – 2.25pm: Hosted Options in a Changing World
Brexit and wider international changes bring both challenges and opportunities. This panel will review the role of hosted platforms and options for accessing EU and US investors.
Joe Vittoria, CEO, Mirabella
Neil Robson – Partner, Katten Muchin Rosenman LLP

Panel Session
2.25pm – 3.10pm: Where Governance and Financials Collide
The panel will look at the practical challenges for Senior Managers under the upcoming SM&CR and will consider the recent use by the FCA of its SREP powers.
Moderator: Matthew Crisp – Director, Financial & Regulatory Reporting and Tax, Cordium
Panellists:
Michael Chambers, Head of Prudential, Cordium
Sona Ganatra, Partner, Fox Williams
Anne Healy-McAdam, Head of Private Client Tax, Cordium

3.10pm – 3.30pm: Coffee break

Panel Session
3.30pm – 4.15pm: US Regulatory Hot Topics
This panel will discuss how political change may impact US regulation and firms operating in the UK. They will also review SEC Enforcement and Examination trends, and discuss ways in which investment managers are adjusting to continued focus on Cybersecurity.
Moderator: Pat Shea – Managing Director, Head of Global Compliance, Cordium
Panellists:
Frank Ochsenfeld, Partner and Head of Legal and Compliance, Coller Capital
Jillian Timmermans, Managing Director, Head of US Compliance, Cordium
Cathy Weist, Partner, Schulte Roth and Zabel LLP

Panel Session
4.15pm – 5.00pm: S.M.A.R.T. governance
This panel will discuss current FCA thinking on good corporate governance and what part technology can play.
Moderator: Bobby Johal – Managing Consultant, Cordium
Panellists:
Stephen Burke, Group Corporate Development Director, Cordium
Reggie Dodge, CCO and Legal Counsel, Emso Asset Management
Tim Pearce, Partner, Akin Gump Strauss Hauer & Feld LLP
Rosali Pretorius, Partner, Simmons & Simmons LLP

5.00pm – 5.15pm: Closing remarks

5.15pm – 7.00pm: Cocktail reception