PIMFA
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Hear from leading industry experts on the key issues facing compliance professionals in the investment management and financial advice world at the PIMFA Compliance Conference 2018. Bringing together a high-level audience who can engage with the experts, this conference will facilitate fruitful discussions with opportunity for questions and networking.
Please see agenda for more details.
09:00Â Â Â Â Â Â Â Â Â Â Â Â Â Â Registration & Networking Breakfast
09:30 Â Â Â Â Â Â Â Â Â Â Â Â Â Welcome
                       Ian Cornwall, Director of Regulation, PIMFA
09:35              MiFID II, PRIIPs and GDPR – Outstanding issues
                       Ian Cornwall, Director of Regulation, PIMFA
10.35Â Â Â Â Â Â Â Â Â Â Â Â Â Â BREXIT Â – 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
11:20Â Â Â Â Â Â Â Â Â Â Â Â Â Â Coffee Break & Networking
 11:40              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         Â
 12:40              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
13:25Â Â Â Â Â Â Â Â Â Â Â Â Â Â Networking Lunch
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14:25       Three lines of defence – the evolution of functional operating models, individual accountability, and applying the principles to all firms including smaller firms
                       Mark Turner, Managing Director, Duff and Phelps
 15:00              Coffee Break & Networking
15:30Â Â Â Â Â Â Â Â Â Â Â Â Â Â 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
Compliance Conference Agenda 2018
