The Cordium Annual Regulatory Forum 2014: What Lies ahead – A Compelling Year for Regulation?

The full playlist of the Regulatory Forum can be viewed below or via our YouTube channel.

The presentations can be viewed directly below.

Cordium’s Annual Regulatory Forum full presentation 2014 from Cordium

Date: Tuesday, 25th February 2014
Location: Bloomberg’s London office, City Gate House, 39-45 Finsbury Square, EC2A 1PQ
Timing: 10.30am – 6.00pm followed by drinks (including lunch for full day delegates)

Morning session 10:30 – 12:30pm – US Regulation
Afternoon session 1:30pm – 6:00pm  – UK Regulation and AIFMD

This is a free forum for all Cordium clients and contacts. 

2014 is the year that number of the regulatory legislations that were created in the wake of the financial crisis are finally coming into fruition: AIFMD, EMIR, Volker, the confluence of regulatory developments,  registrations, disclosures and reporting requirements across different jurisdictions, all aiming to provide strong and robust regulation. Add to the palate, some local bouquets, use of dealing commissions, corporate access, inducements and an outsourcing debate for intensity, there is a risk that too much regulatory flamboyance can make you bleary-eyed.

Following our previous successful Regulatory Forums, our Regulatory Forum 2014 seeks to identify the key regulatory themes on both sides of the Atlantic that are set to challenge investment managers throughout the year. Filtering through the detail of the regulations, we aim to provide guidance and clarity to help senior managers, portfolio managers and compliance personnel deal with the regulatory agenda.

Cordium’s Annual Regulatory Forum 2014 will educate and prepare Compliance Officers, COOs and CEOs at investment firms for the key regulatory issues ahead by highlighting their proximity and precedence while also airing and sharing some pragmatic solutions to them. Speakers and panellists will include Cordium’s UK and US senior staff, leading regulatory lawyers and industry peers.

The event will be split into two parts and delegates can choose to attend the morning, afternoon or the full day. The morning session will cover the expectations of the Securities and Exchange Commission and how firms should prepare for US regulatory examinations. After lunch, the focus moves to UK regulation with most alternative asset managers’ attention still on AIFMD, we’ll consider what still needs to be completed for managers to comply by 22 July. We’ll continue to focus on UK matters affecting investment managers, from tax priorities to commission unbundling, we’ll consider the key regulatory topics managers need to stay on top of this year.


10:30am – Registration for morning delegates

Morning session – US regulation update

11:00am – 12:30pm – Panel Session – What to expect, when expecting the SEC
A presentation on how to prepare for an SEC visit, followed by a panel session where we will discuss current SEC priorities. – Presented and moderated by Bill Mulligan, CEO, Cordium US


  • Abrielle Rosenthal, Senior Principal and Senior Compliance Counsel, TowerBrook Capital Partners
  • Jillian Timmermans, Vice President and Partner, Cordium US
  • John Heard, Executive Partner and General Counsel, Abingworth Management LLP
  • Michael Perry, Chief Operating Officer and Chief Compliance Officer, COMAC Capital LLP

12:30pm – 1:30pm – Lunch and networking

Afternoon session – UK and European regulatory developments

1:00pm – 1:30pm – Registration for afternoon delegates

1:30pm – 1:45pm – Afternoon welcome introduction
2014 UK Regulatory agenda for Investment Managers – Presented by Jonathan Wilson, Project Director, Cordium

1:45pm – 3:00pm – Panel Session – To AIFMinity and Beyond
A discussion of priorities to prepare for the end of AIFMD transitional period and what lies ahead with the directive. – Moderated by Jonathan Wilson, Project Director, Cordium


  • Neil Robson, Special Counsel, Schulte Roth & Zabel
  • Lucy Millar, Director Legal Services, Hermes Fund Managers
  • Simon Thomas, Partner, MacFarlanes LLP
  • Jonathan Mott, Managing Consultant, Cordium
  • Adam de.Domenico, CEO, Zodiac Advisory Services, Malta
  • Kevin Tomlin, Director, Relationships, Royal Bank of Scotland Group

3:00pm – 3:30pm – Presentation – Compliance Software
A presentation to demonstrate how software can help streamline your compliance responsibilities and add efficiencies into your day to day operations – Bill Mulligan, CEO, Cordium US

3:30pm – 3:50pm – Tea Break

3:50pm – 4:20pm – Presentation – Is defining skill important in modern asset management?
A presentation on behavioural annalysis and coaching for managers in the asset management industry – Josh Jacobson, Founder & CEO, Salomon Partners

4:20pm – 4:50pm – Presentation – 10 tax tips for 2014
A useful rundown of the top corporate and personal tax tips for 2014 – Laurence Parry, Director, Cordium

4:50pm – 5:50pm – Panel Session – FCA current priorities and what firms should look out for in 2014
A discussion covering thematics reviews and attestations, EMIR, marketing, supervision and enforcements – Moderated by Philip Naughton, Director, Cordium


  • Eve Ellis, Partner, Charles Russell LLP
  • Bobby Johal, Managing Consultant, Technical, Cordium
  • Simon Morris, Partner, Financial Services, CMS Cameron McKenna LLP
  • Arjun Singh-Muchelle, Senior Advisor, Regulatory Affairs (Wholesale and Capital Markets), Investment Management Association
  • Jennifer Wood, Director, Head of Asset Management Regulation, AIMA

5:50pm – 6:00pm – closing remarks

6:00pm – Drinks and networking

The event is now closed – video coverage of this event will be available on our YouTube Channel soon.