Managing regulatory change for the buyside: Introduction
Jonathan Herbst – Partner and Global Head of Financial Services
Financial Services Group
Tuesday 30 July 2013
Programme
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15:10 – 15.15
Opening remarks
15:15 – 16:10
The latest in the UK and the EU
• AIFMD implementation and beyond
• Other initiatives for the buy-side: fitting it all together:
• UCITS
• MiFID II
• EMIR, and more
16:10 – 16:30
Choice of breakout sessions:
• Remuneration – an update on this current hot topic
• Key markets issues for the buy-side
• Marketing funds in the EU
16:30 – 16:40
Coffee
16:40 – 17:00
Breakout sessions
17:00 – 17:25
AIMA – current regulatory perspectives
17:25 – 17:30
Closing remarks
17.30
Drinks reception and networking session
Where to go
Talk
Room
Main talk
Auditoria 1-3 (this room)
Breakout session 1: Remuneration –
an update on this current hot topic
Auditoria 1-3
Kennedy Masterton-Smith
Breakout session 2:
Key markets issues for the buy-side
K1
Hannah Meakin
Breakout session 3:
Marketing funds in the EU
K3
Michael Newell
Charlotte Robins
AIMA – current regulatory
perspectives
Auditoria 1-3
Jennifer Wood
Networking drinks
Terrace Suites
• Breakout session 1: Remuneration, is only running once, before the
coffee break. Attendees registered for this session please attend this first.
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• Breakout session 2: Key markets issues for the buy-side, and
Breakout session 3: Marketing funds in the EU, are running twice both
before and after the coffee break.
A warm welcome to our guest speakers
Jennifer Wood
Director, Head of Asset Management
Regulation, AIMA
Prior to joining AIMA, Jennifer was a Partner in
Dechert LLP's London financial services group,
where she focused her practice on advising UK,
US, European and Asian financial services firms,
investment managers and investment funds on
US regulatory matters, including investment
adviser and fund registration and compliance
matters, fund formation matters and fund
governance among other things. She studied
finance at the University of Iowa and law at the
Columbia Law School, where she was the editorin-chief of the Columbia Business Law Review.
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Charlotte Robins
Partner, Norton Rose Fulbright Hong Kong
Charlotte Robins is a financial services and
regulatory lawyer based in Hong Kong.
Charlotte’s practice includes advising on setting
up regulated businesses in Hong Kong, on-going
compliance with regulatory laws, codes and
guidelines, product offering, cross border issues,
anti-money laundering and data privacy. She has
been actively involved in responding to recent
regulatory consultations and advising on related
developments affecting the asset management
industry.
Norton Rose Fulbright LLP speakers
Jonathan Herbst
Hannah Meakin
Partner, Financial Services
Partner, Financial Services
Jonathan is an expert in markets regulation and is a
frequent speaker on issues such as MiFID II, trading
platforms, market abuse, commodities and clearing and
settlement. Jonathan was previously head of European
Law at the FSA.
Hannah advises on all aspects of markets infrastructure.
Her areas of expertise include: custody, outsourcing,
brokerage and clearing and settlement. Hannah has also
helped to set up several MTFs and a clearing house.
Mike Newell
Imogen Garner
Partner, Corporate
Senior Associate, Financial Services
Mike is an expert in investment fund formation and is a
frequent speaker on related topics such as the AIFM
Directive. Mike also sits on the FCA’s legal expert group
and various industry association committees relating to the
Directive.
Imogen Garner is a senior associate in our London office,
where she advises a broad range of clients on the UK and
EU financial services regimes. Imogen's areas of practice
include advising on perimeter issues, the regulatory
aspects of acquisitions and disposals and clients' on-going
compliance with anti-money laundering and other financial
services law and regulation.
Kennedy Masterton-Smith
Associate, Financial Services
Kennedy is a financial services lawyer based in London. Since joining the firm in 2007 Kennedy has been
involved in a wide variety of financial services matters and corporate transactions including time spent
working in Hong Kong.
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Safety notice
Should you hear the fire alarm please listen for instructions and
exit the building via the front entrance
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CPD accreditation
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This buy-side seminar attracts 2.25 CPD points
Course reference is: L130730
Norton Rose’s SRA code is NROS – 080
Pass this code to your Training Department who will be able to
credit your point bank