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Regulation of Asset Management 2019
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Summary

The asset management industry has never been under greater scrutiny. The FCA’s Asset Management Market Study last year highlighted numerous failings in relation to value for money, use of benchmarks and the clarity of disclosure on performance and fees. Recently, the controversy over the Woodford funds has demonstrated that they are, to quote Mark Carney, “built on a lie” by suggesting that there is daily liquidity when this is clearly not the case.

Another key development is that the FCA has responded to concerns by demanding asset managers take their responsibilities towards corporate stewardship more seriously and ensuring that they put the clients’ and beneficiaries’ interests first. The FRC’s new Stewardship Code and the implementation of the Shareholders Rights Directive II will impose more onerous obligations on asset managers to demonstrate that they have oversight of their investments.

City and Financial Global’s landmark conference represents a unique opportunity for those at the forefront of the asset management community to gain insights into best practice in complying with the new regulatory standards. We are delighted to welcome Nick Miller, Head of Asset Management, Financial Conduct Authority as our keynote speaker. He will outline the FCA’s agenda for reform and their expectations for the asset management industry as a whole. Our panel of expert speakers will also provide practical insights into an array of challenges facing asset managers, such as  how culture and conduct has developed as a key compliance issue; the drive towards increasing engagement and transparency; improving disclosure on fees particularly in relation to active and passive funds; choice and use of benchmarks; and credible performance reporting. Asset managers will also be profoundly affected by coming within the ambit of the Senior Managers and Certification Regime (SMCR) this December, as well as by the ongoing turmoil which surrounds Brexit. 
Attending this Summit will enable you to drill down into the implications of these radical events for your firm and provide you with practical tools and strategies to ensure you are at the vanguard of regulatory compliance.

Key questions to be covered include:

  • What is the FCA’s approach to regulation of asset management and how will you be affected by the reforms?
  • What is the role of fund managers in the corporate stewardship debate? 
  • To what extent has the increased focus on culture and conduct affected the industry? 
  • What is required of asset managers in terms of fee disclosure and value for money?
  • What is best practice in the choice and use of benchmarks and performance reporting? 
  • Where next for asset managers post-Brexit? 
  • What steps do you need to take to ensure compliance with the SMCR by December? 
  • What are the implications for asset managers of the drive to increase efficiency, choice and competition in fund and adviser platforms?

Who should attend

The senior management of all asset managers and investment firms, including: Heads of Compliance, Legal, Regulatory Change, Regulatory Development, Regulatory Strategy, Stewardship, Responsible and Investment; Chief Executive Officers, Chief Operating Officers, Executive Directors and Managing Directors with responsibility for regulatory strategy; and, of course, the advisory community.


GARP

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City and Financial Global is an Approved Provider for GARP Continuing Professional Development (CPD) credits.  Attending this program qualifies for 6.0 GARP CPD credit hours. If you are a Certified Financial Risk Manager (FRM®) or Energy Risk Professional (ERP®), please record this activity in your Credit Tracker.

 

  • When

  • Monday, October 14, 2019
    8:15 AM - 5:00 PM
     

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  • Where

  • America Square Conference Centre
    1 America Square
    17 Crosswall
    London EC3N 2LB
    United Kingdom

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