Event: Financial Services Forum for Legal and Compliance Professionals

About the forum

1 April 2014

2013 has been a key year for implementation of the recent changes to the UK financial services regulatory structure.

Understanding them is critical for those involved in the Financial Services industry.

Designed for legal, risk and compliance professionals, including those working in the banking, asset management and insurance sectors, the forum will enhance your understanding about how financial services regulation works in practice and what your organisation should be focusing on to keep up with the pace of regulatory change.

It will also allow you to assess the impact of regulation on your business and take appropriate steps to mitigate that impact, and help you to develop and implement a comprehensive and empowering strategic response for the coming year.

YOU WILL UNDERSTAND MORE ABOUT

  • The FCA’s tough attitude towards enforcement
  • New enforcement tactics, eg asset freezing
  • Conduct and culture expectations in the financial services industry and what regulator expectations are

YOU WILL LEARN HOW

  • Your company can deal effectively with investigations involving multiple regulators and jurisdictions
  • The current EU legislative process works in practice and how you can influence it
  • Your organisation can benefit from PRA/FCA regulation

DON’T MISS OUR IN-DEPTH INDUSTRY FOCUS STREAMS ACROSS THE BANKING, INSURANCE AND ASSET MANAGEMENT SECTORS, WHICH WILL EXAMINE

  • The new consumer credit regulatory framework in retail banking: what is yet to come and what influence will it have on your business?
  • What opportunities the AIFMD provides for the asset management sector
  • Remuneration in the financial services sector: learning about recent trends and challenges
  • Solvency II Insurance regulation: current state of play and key areas of focus
  • EMIR: application, risk mitigation and documentation
  • Past business reviews and skilled person reports in retail banking

OUR ESTEEMED ADVISORY BOARD MEMBERS AND SPEAKERS INCLUDE:

Jamie Symington, Head of Department, Retail Enforcement, FCA

Chris Moulder, Director of General Insurance, PRA

Jonathan Herbst, Global Head of Financial Services, NORTON ROSE

Elizabeth Grace, Partner and Head of the Knowledge Development team in the Asset Management and Investment Funds Group, MATHESON

David Sheldon, General Counsel EMEA, CREDIT AGRICOLE CORPORATE & INVESTMENT BANK

Markus E. Schulz, Chief Compliance Officer International, GE CAPITAL

Angela Hayes, Partner, KING & SPALDING

Claire Morris, Deputy Group General Counsel, NATIONWIDE

Simon Ramage, Group Legal Director, PRUDENTIAL

Malcolm Wood, Company Secretary and Group General Counsel, STANDARD LIFE

Alexander Nightingale, Director Legal and Compliance, BLACKROCK

Christiana Norman, Managing Director and Head of EMEA Regulatory Reform, BANK OF AMERICA MERRILL LYNCH

Rupert Rossander, Group General Counsel, FIDELITY WORLDWIDE INVESTMENT

Pollyanna Deane, Partner International Insurance Group, SIMMONS & SIMMONS

Mary O’Connor, Group Head of Risk and Compliance, WILLIS and former manager, FSA

Antony Whitehouse,UK Head of Compliance and Global Head of Fixed Compliance, BNP PARIBAS and many many others

Agenda

Time Details
8.30am - 9.15am

Registration and coffee

9.15am - 9.30am

Chair welcome and introductions

Richard Sims, Partner, SIMMONS & SIMMONS

9.30am - 10.00am

Keynote Speech

FCA enforcement: where are we now?

Jamie Symington, Head of Department, Retail Enforcement, FCA

10.00am – 11.00am

Keynote Panel Session

Recent FCA enforcement trends

  • Understanding the FCA’s tough attitude towards enforcement
  • Coping with investigations involving multiple regulators and jurisdictions
  • New enforcement tactics, eg asset freezing
  • Responding effectively to an FCA investigation

Jamie Symington, Head of Department, Retail Enforcement, FCA
Mary O'Connor, Global Head of Financial Services, WILLIS and former manager, FSA
Angela Hayes, Partner, KING & SPALDING
David Sheldon, General Counsel EMEA, CRÉDIT AGRICOLE CORPORATE & INVESTMENT BANK
Joe Bloggs, General Counsel EMEA, CRÉDIT AGRICOLE CORPORATE & INVESTMENT BANK

11.00am – 11.30am

COFFEE BREAK

11.30pm – 12.20pm

Panel Session

Conduct and culture expectations: what regulators tend to expect

  • The importance of culture in influencing behaviour
  • Understanding how regulators examine compliance culture and what their expectations are

Ian Mason, Head of Content Strategy, THOMSON REUTERS UKI LEGAL, Former Head of Department, Enforcement Division, FSA

Antony Whitehouse, UK Head of Compliance and Global Head of Fixed Income Compliance, BNP PARIBAS
Dennis Will, Managing Director Compliance at ASSOCIATION FOR FINANCIAL MARKETS IN EUROPE

12.20pm – 1.10pm

Panel Session

Remuneration in the financial services sector: learning about recent trends and challenges

  • Navigating remuneration codes, legal and regulatory update
  • What themes are being seen in remuneration packages?
  • What emerging trends can be expected (eg bonus caps)?

Tara Doyle, Partner in the Asset Management and Investment Funds Group, MATHESON
Lisa Cawley, Partner, KIRKLAND & ELLIS INTERNATIONAL
Mary O'Connor, Global Head of Financial Services, WILLIS and former manager, FSA

1.10pm - 2.10pm

LUNCH

2.10pm – 3.00pm

Streamed Sessions

WORKSHOP A (General stream: banking, asset management, insurance)

Effective European lobbying: how to influence the EU decision-making process

  • Overview of the EU legislative process and understanding how it works in practice
  • What can you do as a business to influence the EU legislative process?
  • Effective lobbying at different stages of the legislative process

Vicky Marissen, Managing Director, PACT EUROPEAN AFFAIRS
Markus E. Schulz, Chief Compliance Officer EMEA, GE CAPITAL

WORKSHOP B (Retail banking stream)

The regulation of consumer credit: evaluating the changes

  • The new consumer credit regulatory framework: what is yet to come and what influence will it have on your business
  • How can a firm check it is ready for the changes?

Tim Nesbitt, Barrister, OUTER TEMPLE
Claire Morris, Deputy Group General Counsel, NATIONWIDE
Sally-Ann James, General Counsel, METRO BANK

WORKSHOP C (Asset management stream)

The regulatory horizon for the European and UK asset management industry: insights, impacts and timing

  • How does asset management fit within a broad European agenda? Have the decision-making processes changed in Europe?
  • Update on UCITS V, the draft Money Market Funds Regulation, PRIPs proposals and MiFID II
  • What can asset managers expect in terms of new areas of regulation and regulatory trends? How do we see regulators respond to the recent changes?

Rupert Rossander, Group General Counsel, FIDELITY WORLDWIDE INVESTMENT
Markus Miederhoff, Head of Legal and Compliance Europe, ALLIANZ GLOBAL INVESTORS
David Reed, Head of Financial Services, KREAB GAVIN ANDERSON

WORKSHOP D (Insurance stream)

Evaluating regulation of the UK insurance sector: where are we now?

  • Learning how dual regulation is working in practice
  • Key areas of supervisory focus
  • Effectively dealing with recent and current enforcement trends

Simon Ramage, Group Legal Director, PRUDENTIAL
Malcolm Wood, Company Secretary and Group General Counsel, STANDARD LIFE
Neville Howe, General Counsel, RSA

3.00pm - 3.20pm

COFFEE BREAK

3.20pm – 4.10pm

Streamed Sessions

WORKSHOP A (Banking stream)

EMIR: application, risk mitigation and documentation

  • Where are we now?
  • Risk mitigation measures: lessons learned so far
  • Discussing application issues:
    • Products and counterparties
    • Third-country equivalence
  • A closer look at documentation: using the ISDA EMIR protocols

Penny Miller, Partner, SIMMONS & SIMMONS
Nathalie Robertson-Nugent, Head of Legal, Regulatory Advisory and Derivatives Policy, RBS
Christiana Norman, Managing Director and Head of EMEA Regulatory Reform, BANK OF AMERICA MERRILL LYNCH

WORKSHOP B (Asset management stream)

Fully understanding AIFMD: state of play and opportunities

  • AIFMD implementation update
  • Learning how marketing can occur in the EEA now and in the future
  • An outline of common depositary issues
  • What opportunities does the AIFMD provide?

Alexander Nightingale, Director Legal and Compliance, BLACKROCK
Jonathan Herbst, Global Head of Financial Services, NORTON ROSE
Anna Berdinner, Regulatory Analyst, Asset Management Regulation, AIMA

WORKSHOP C (Insurance stream)

Determining impact of EU legislation on the UK insurance sector

  • Solvency II: current state of play and key areas of focus
  • IMD2: how the Directive affects insurers and intermediaries in practice
  • AIFMD: evaluating business opportunities for the insurance sector

Chris Moulder, Director General Insurance, PRA
Pollyanna Deane, Partner International Insurance Group, SIMMONS & SIMMONS

4.10pm – 5.00pm

Panel Session

A year on: have two regulators been better than one?

  • Examining the UK financial services regulatory framework and approach.
  • Learning how firms can benefit from PRA / FCA regulation

Richard Sims, Partner, SIMMONS & SIMMONS
Neville Howe, General Counsel, RSA
Claire Morris, Deputy Group General Counsel, NATIONWIDE
Rupert Rossander, Group General Counsel, FIDELITY WORLDWIDE INVESTMENT

5.00pm – 5.15pm

Chairman's Closing Comments

Richard Sims, Partner, SIMMONS & SIMMONS

5.15pm

End of the Conference and Drinks reception

Join your fellow delegates and the speaker faculty to continue discussions in an informal and relaxed setting while enjoying drinks and canapés

ADVISORY BOARD MEMBERS AND SPEAKERS INCLUDE:

Jamie Symington

Jamie Symington

Head of Department in the Retail Group of the FCA’S ENFORCEMENT AND FINANCIAL CRIME DIVISION

Jamie Symington is a Head of Department in the Retail Group of the FCA’s Enforcement and Financial Crime Division. He is a lawyer with experience at the Bar and in government, before joining the FSA in 1999. He has worked in policy and casework roles in the FSA’s Enforcement Division. From 2006 to 2013 he was head of the Wholesale Group, which is responsible for the investigation and prosecution of insider dealing, market abuse and matters relating to wholesale firms. In 2013 he moved to Retail, where his Department is responsible for investigation and enforcement action in relation to consumer protection and also financial crime controls, particularly at large retail banks.

Angela Hayes

Angela Hayes

Partner, KING & SPALDING

Angela Hayes specialises in the regulation of financial services business, together with white collar crime, bribery and corruption, anti money laundering and sanctions.

Angela's practice encompasses advice on compliant conduct of business through to internal investigations in response to incidents and defending investigations and enforcement action by regulators. Angela has experience in defending and responding to investigations and enquiries by the UK Financial Conduct Authority (and its predecessor the Financial Services Authority), the UK Serious Fraud Office, other EU regulators, and cross border investigations by the US Department of Justice, the Securities and Exchange Commission and Commodity Futures Trading Commission.

Angela’s white-collar crime work has included response to Serious Fraud Office and Department of Justice processes. Recent work also has included Bribery Act 2010 “adequate procedures” and internal investigations into potential bribery incidents. Angela's clients include investment and private banks, retail and alternative investment fund managers, insurers, broker dealers, financial advisers and, in relation to bribery and corruption and sanctions issues, other non financial sector corporates.

Earlier in her career, Hayes spent time in-house at the Financial Services Authority advising on key aspects on implementation of the Financial Services and Markets Act 2000. She is ranked in both the Chambers and Legal 500 guides for financial services.

Chris Moulder

Chris Moulder

Director General Insurance, PRA

Chris joined the FSA in December 2011 as Head of London Markets Insurance and was appointed Director, General Insurance in May 2013. Previously he spent 26 years at KPMG. For the majority of this time Chris specialised in Financial Services in general and Insurance in particular. He delivered a range of audit, consulting, regulatory and transactions services to firms across the Insurance Sector from brokers to both Life and Non-Life insurers and reinsurers. He led a number of KPMG’s key client relationships with insurance firms. Prior to joining KPMG, Chris served in the armed forces for 9 years as a Royal Engineer.

Antony Whitehouse

Antony Whitehouse

UK Head of Compliance, Global Head of Fixed Income Compliance, BNP PARIBAS

Antony Whitehouse is the UK Head of Compliance for the BNP Paribas Group, one of the largest banking groups in the world. Prior to this he was in a similar role at another French bank, Crédit Agricole. He is Deputy Chairman of the Compliance Board of the Association for Financial Markets in Europe, as well as the Securities Houses Compliance Officer’s Group. In previous roles, he set up and was in charge of the UK Money Laundering Prevention Department at WestLB and was the Head of Compliance for WestLB London. He previously worked at both the SFA, and the FSA, dealing with the larger and more complex institutions.

Elizabeth Grace

Elizabeth Grace

Partner and Head of the Knowledge Development team in the Asset Management and Investment Funds Group, MATHESON

Elizabeth is a partner at Matheson and head of the knowledge development team in the Asset Management and Investment Funds Group. As part of her remit, Elizabeth concentrates on current awareness of legal and regulatory developments in fund and fund management regulation. She has particular expertise in emerging European and Irish developments affecting asset managers and investment funds, including UCITS V, UCITS VI and AIFMD.

Elizabeth qualified as a solicitor in 2000 with Matheson and from early in her career practised in funds and asset management, acting in respect of a number of leading global asset managers in the establishment, operation and re-structuring of Irish domiciled investment funds. Her postgraduate qualifications include a master’s degree in law from Oxford university, where one of Elizabeth’s focal points was European business regulation.

Mary O'Conner

Mary O'Connor

Global Head of Financial Services, WILLIS and former manager, FSA

Mary O'Connor is a member of the Board of Directors of Willis Limited, the group's FSA-regulated entity. Mary has 20 years of experience in international litigation and financial regulation. She has held significant positions at regulators in the US and the UK, as well as serving as a partner in private law practice at a major US firm.

Mary was recently Head of Approved Persons at the FSA, with oversight responsibility of the controversial SIF regime. Prior to serving as Head of Department, she was also a manager in the Enforcement and Financial Crime Division, where she successfully led high-profile investigations into LIBOR-rigging and obtained record-breaking fines. Mary also led the first investigation into a senior executive for failure to demonstrate competence in relation to his SIF responsibilities. In the US, Mary served as an Assistant United States Attorney in Washington, DC, where she worked for the current Attorney General, Eric Holder, and led numerous high-profile criminal cases.

Mary is a dual-qualified US and UK lawyer, and a recognised expert on regulation, ethics and corporate governance. She speaks regularly at high-profile events, and has lectured at the Financial Times training for Non-Executive Directors.

David Sheldon

David Sheldon

General Counsel EMEA, CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK

David Sheldon joined Crédit Agricole Corporate & Investment Bank as General Counsel EMEA (ex France) in 2009 and is based in London. Mr Sheldon is a member of the Bank's Global Management Committee and London Management Committee as well as being a member of a number of risk, compliance and business oversight committees. He has spent more than 20 years as an international lawyer in which time he has lived and worked in New York, Hong Kong, London and Australia.

Markus Schulz

Markus Schulz

Chief Compliance Officer International, GE CAPITAL

Markus joined GE Capital in January 2013, after working many years for Zurich Insurance and before that for ABN AMRO Bank. He held a number of senior global Compliance positions, including Chief Compliance Officer Global Life, Group Financial Crime Officer, Global Head Compliance Service Center and Group COO AML Compliance. He currently is based in London and was located in Germany, UK, the Netherlands, India and Switzerland before.

Prior to his time in Compliance he served in a variety of senior in-country, Regional and Global management positions in the Back-, Mid- and Front-Office adding to his nearly 20 years in the Financial Services industry.

He is a very active member in the global Compliance industry, working with groups like the Wolfsberg Group, Egmont Group, Basel Institute on Governance, Insurance Europe, FATF, International Anti-Corruption Academy, the European Commission, to mention some. He has initiated and lead a number of successful collective industry action groups around topics like Trade & Economic Sanctions, AML and FATCA as well as Ethics in Business.

Markus is an Advisory Board member of ACAMS®, the leading global Association of Certified Anti-Money Laundering Specialists®. He is a very frequent and regular presenter, panellist, keynote speaker, moderator and chairman at Compliance, AML, Anti-Financial Crime and Anti-Fraud conferences and summits around the world.

Malcom Wood

Malcom Wood

Company Secretary and Group General Counsel, STANDARD LIFE

After a career as a corporate lawyer in private practice in London and Edinburgh, latterly as Head of the Corporate Department at the Scottish law firm Burness, Malcolm Wood joined Standard Life as Director of Legal Services in 2001. He became Group Company Secretary and General Counsel in 2004 and was closely involved in the work which led to the demutualisation of The Standard Life Assurance Company and the flotation of Standard Life plc on the London Stock Exchange in July 2006. Standard Life plc joined the FTSE 100 in September 2006.

In 2007, he received the ICSA award as Company Secretary of the Year and the Law Awards of Scotland award as In House Lawyer of the Year. In the same year, the Standard Life legal team won awards as In House Legal Team of the Year from "Legal Business" and "Financial News".

He is an Adviser to The Institute of Chartered Secretaries and Administrators. He is also a Member of the Company Law Committee of The Law Society of Scotland and the GC100.

Tara Doyle

Tara Doyle

Partner in the Asset Management and Investment Funds Group, MATHESON

Tara Doyle is a partner in the Asset Management and Investment Funds Group at Matheson. She practices financial services law and advises many of the world's leading financial institutions, investment banks, asset management companies, broker-dealers and corporations carrying on business in Ireland or through Irish vehicles. Tara has extensive experience in advising a wide range of domestic and international clients on the structuring, establishment, marketing and sale of financing and investment vehicles and products in Ireland and other jurisdictions. In particular she specialises in advising on the legal and regulatory issues surrounding the establishment of private and public investment funds, the structuring, offer and sale of investment instruments and investment products, the provision of investment advice and other financial services and the public issuance of equity and debt securities.

Tara has spoken at a number of international financial services conferences, including the IFIA seminars in Milan, Frankfurt, New York, Boston, Hong Kong, Tokyo and Singapore and has contributed articles to financial services and investment industry journals.

Vicky Marissen

Vicky Marissen

Managing Director, PACT EUROPEAN AFFAIRS

Vicky Marissen is Managing Director of PACT European Affairs, a training/consultancy form specializing on delegated and implementing acts. She has a legal background and has been active in EU Public Affairs for 12 years. Over this period she has built up expertise and experience with regard to comitology and delegated acts and EU decision-making procedures in general. She has delivered strategic advice and analysis for clients on comitology strategies. Besides her expertise on the subject, Vicky is recognized as a good pedagogue and trainer, able to communicate clearly and transfer know-how on complex topics.

Neville Howe

Neville Howe

General Counsel, UK & Western Europe, RSA

Neville Howe is responsible for legal, risk and compliance at RSA, dealing with all aspects of the insurer's UK & Western European business - a £4 billion insurance operation with a wide reaching market; from pets at More Than to shops and wind farms globally.

Neville has spent over 20 years working in insurance, previously at Lloyds, St James's Place and AEGON before moving to RSA in 2005.

Before qualifying as a lawyer, Neville spent 10 years in the Army, finishing as a Captain in the Royal Engineers. He is a keen sailor with 3 children and lives on the Suffolk coast, where he can indulge his passion for being on the water.

Anna Berdinner

Anna Berdinner

Regulatory Analyst, Asset Management Regulation, AIMA

Anna Berdinner was appointed Regulatory Analyst, Asset Management Regulation for AIMA in February 2012. Prior to joining AIMA, she worked for Freshfields Bruckhaus Deringer, where she worked in the financial institutions disputes group, the structured asset finance group and the corporate financial services regulation group.

Anna is qualified as a solicitor and has a degree in Law and German from Southampton University.

Claire Morris

Claire Morris

Deputy Group General Counsel, NATIONWIDE

Claire joined Nationwide in December 2011 to head up the Corporate, Commercial and Financial Services teams, and becoming Deputy Group General Counsel in July 2012. Prior to joining Nationwide Claire worked in private practice for over ten years before moving in-house to work in the Financial Services industry. Since then Claire has worked in a variety of organisations including Cheltenham & Gloucester, Misys, Legal & General and Lloyds TSB in both retail and business divisions where she’s been involved in commercial, corporate and regulatory work.

Rupert Rossander

Rupert Rossander

Group General Counsel, FIDELITY WORLDWIDE INVESTMENT

Rupert Rossander joined Fidelity Worldwide Investment as Group General Counsel in April 2011 and is responsible for the legal and compliance functions.

Rupert has extensive experience in the asset management industry and has worked in London, Switzerland and the United States. Rupert previously worked at Man Group for 13 years in a variety of legal, operational and development roles. Prior to Man, Rupert was a member of the Financial Services and Funds practice at Clifford Chance in London. Rupert takes an active interest in wider industry initiatives relating to developments within the asset management industry and was a member of the European Commission’s Alternative Investment Expert Group which was set up in 2006 as part of the consultation process for the Alternative Investment Fund Managers Directive.

Rupert graduated with honours from the University of Southampton in 1989 and completed his graduate legal studies at London Guildhall University in 1992. He is admitted as a solicitor, England & Wales.

Sally-Ann James

Sally-Ann James

General Counsel, METRO BANK

Sally-Ann was the first lawyer to join Metro Bank in February 2012. Her role as General Counsel is to develop the legal function in a fast changing, expanding business.

Prior to joining Metro Bank, Sally-Ann spent nearly 20 years in Manchester undertaking various legal roles with the Co-operative Bank, Co-operative Financial Services and the Co-operative Banking Group.

Sally-Ann started her career in matrimonial and criminal law in Northampton, before moving on to join the corporate transactional team at Manches & Co in 1989.

Lisa Cawley

Lisa Cawley

Partner, KIRKLAND & ELLIS INTERNATIONAL

Lisa Cawley has extensive experience in financial services regulation, gained over 20 years. Recognised in Chambers, The Legal 500 and the International Financial Law Review, she is described as having an "excellent understanding of the UK regulatory regime". Lisa speaks, comments and writes regularly on regulatory matters and has published numerous client briefings. Lisa is an acknowledged authority in her field and advises on a wide range of regulatory matters.

She is a member of the Financial Service Authority's AIFMD Group of Legal Experts; of the EVCA Public Affairs Executive Technical Group on the Alternative Investment Fund Managers Directive and she is a founder of Transatlantic Regulatory Lawyer Group.

Polyanna Deane

Polyanna Deane

Partner, International Insurance Group, SIMMONS & SIMMONS

Pollyanna is a partner in the corporate group in London. She specialises in advising insurance companies and unusually, advises both life and general insurers on the many aspects of their business. These include business transfers, attributions of inherited estates, mergers and acquisitions, reorganisations, demutualisations and joint ventures. She has been extensively involved in Solvency II projects for both capital management purposes and business preparation.

Pollyanna covers the development of new products (including health trusts and financial reinsurance) for insurers, reinsurers and other financial institutions. She also advises corporates on the regulatory position of their insurance and risk management programmes in addition advising governments on the establishment and running of captives and protected cell companies. She has considerable experience in working with discretionary mutuals, warranty providers, intermediaries (and other service providers) covering all regulatory aspects of their business as well as their distribution and marketing arrangements.

Richard Sims

Richard Sims

Partner, SIMMONS & SIMMONS

Richard is a partner in Simmons & Simmons’ Financial Markets Litigation department and is a member of the firm’s Crime, Fraud and Investigations group. Richard specialises in contentious financial services work, both domestic and international, and has extensive experience of regulatory investigations, enforcement and disputes, in particular those involving the FCA. Richard previously worked in the Enforcement Division of the FSA.

Ian Mason

Ian Mason

Head of Content Strategy, THOMSON REUTERS UKI LEGAL and Former Head of Department, Enforcement Division, FSA

Ian Mason is Head of Content Strategy at Thomson Reuters Legal UK & Ireland, and is responsible for directing content across the online Practical Law, Westlaw, Lawtel platforms and print titles. He joined Practical Law in May 2012. He was formerly a partner in the Financial Services Group at Baker & McKenzie and Barlow Lyde & Gilbert (now Clyde & Co), and trained at Travers Smith. Ian also served as a Head of Department in the Financial Services Authority’s Enforcement and Financial Crime Division. Ian specialised particularly in enforcement, investigations, market abuse and financial crime matters. Ian is an editor and consultant editor of a number of legal text books, including hedge funds and financial crime.

Will Dennis

Will Dennis

Managing Director Compliance, ASSOCIATION FOR FINANCIAL MARKETS IN EUROPE

Will Dennis is a Managing Director Compliance, in the Association for Financial Markets in Europe (AFME). His main focus is monitoring, analysing and responding to regulatory developments in compliance at the national, EU and global level. Before joining AFME, Will held the positions of general counsel and/or head of compliance at a number of international investment banks. Will spent his early career with HM Diplomatic Service, serving in London, Beijing and Hong Kong. He holds an MA and LLM from the University of Cambridge, and is qualified as a solicitor in both the UK and Hong Kong.

Penny Miller

Penny Miller

Partner, SIMMONS & SIMMONS

Penny is a partner in our financial services regulation practice which forms part of our financial markets practice in London. Penny specialises in a wide range of UK and EU regulatory matters focussing on advising financial institutions on product regulation and the impact of current and future regulation on transactions relating to debt capital markets, retail structured products, derivatives and structured finance. Penny also advises clients on the ongoing global regulatory reforms. Penny is involved in navigator – the Simmons & Simmons online regulatory subscription service which provides information in relation to over 90 jurisdictions - her key focus is on navigator: securities and navigator: derivatives. Penny regularly presents to clients on key aspects of current regulatory change and is closely involved in trade association discussions and responses to EU and other regulatory bodies.

Tim Nesbitt

Tim Nesbitt

Barrister, OUTER TEMPLE

Tim Nesbitt is a barrister in practice at Outer Temple Chambers, where he is part of the team specialising in financial services law. He has recently spent an extended period of time working with the FCA on the development of the new regulatory framework for the consumer credit industry. Called in 1991, Tim also undertakes wider commercial, regulatory and public law work in a variety of fields.

Nathalie Robertson-Nugent

Nathalie Robertson-Nugent

Head of Legal, Regulatory Advisory and Derivatives Policy, RBS

Nathalie Robertson-Nugent is the Head of Legal, Regulatory and Derivatives Advisory at RBS. Prior to joining ABN AMRO in 2000, Nathalie spent six years in private practice advising on banking and debt capital markets. She has a wide range of experience in advising on a variety of financial services matters and currently specialises in UK and EU regulatory matters with a focus on the impact of current and future regulation on derivatives and structured finance.

David Reed

David Reed

David Reed is a Partner in Kreab Gavin Anderson's Brussels Office, where he leads the EU financial services practice. He has a background from the European Commission's Asset Management Unit in the Directorate General for the Internal Market & Services, where he worked on issues such as mutual fund regulation, retirement savings markets, and alternative investment fund regulation. Prior to that he worked in London at the UK financial services regulator, the FSA, first as a relationship manager supervising investment firms, and then as regulatory adviser in the Chairman's office, attached to the Inernational Strategy Team. David's first jobs were in management consultancy with McKinsey and The Evaluation Partnership, specializing on financial services issues, and in private equity, with Campbell Lutyens.

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Booking Information

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CALL: Ashley Pearce +44 (0) 207 202 1200
E-MAIL: ashley.pearce@thomsonreuters.com

Location

ANDAZ, Liverpool Street, London

Sponsors

Matheson

matheson

Matheson's primary focus is on serving the Irish legal needs of international companies and financial institutions doing business in and through Ireland.

At Matheson the financial services sector is the largest single sector of our practice. We have worked extensively over many years with a broad range of financial institutions operating in Ireland, including banks, insurers, securities and derivatives trading houses, investment funds and investment managers. We continually look to use the breadth and depth of our experience to benefit our clients. In our view, dedicated teams with extensive industry sector knowledge offer the best value for clients. We are headquartered in Dublin and also have offices in London, New York and Palo Alto.

Simmons & Simmons

Simmons & Simmons

We view the world through the lens of our key sectors: asset management and investment funds, energy and infrastructure, financial institutions, life sciences and technology, media and telecommunications (TMT).

For our clients this means they benefit from a law firm fully focused on their sector, wholly understanding of the challenges that they face and completely tuned in to their needs.

Our current client base includes a significant number of the current FTSE 100 and Fortune Global 500 companies and we advise the top 10 investment banks, many of the world's largest financial conglomerates and more than half of the top 50 European hedge fund managers. We provide services from 22 locations based in Europe, the Middle East and Asia.

King & Spalding

King & Spalding

King & Spalding is a Global 50 law firm with more than 800 lawyers in 17 offices throughout the United States, Europe, the Middle East and Asia. Our London office has extensive cross-border experience and are specialists in advising clients on English, US, EU and Middle Eastern law. Whilst we offer a full range of legal services, we are acknowledged leaders in a number of industry sectors, including the financial services and energy & natural resources. Our clients include many of the FTSE and Fortune 100 companies from the worlds of financial services, energy and natural resources, professional services, life sciences, information technology, automotive, pharmaceuticals, defence and aerospace, chemicals and mining.

We offer a range of highly-tailored networking, research and branding opportunities at our events. Don’t miss the opportunity to develop your brand and expand your business network through our bespoke packages.

For more information on the opportunities and the benefits they can bring to your business, please contact Katya Kravtsova on: +44 (0) 20 7202 1200 or email Katya.Kravtsova@thomsonreuters.com.

Media partners

International Capital Market Association (ICMA)

ICMA

The International Capital Market Association (ICMA) is a unique organisation and an influential voice for the global capital market. It represents a broad range of capital market interests including global investment banks and smaller regional banks, as well as asset managers, exchanges, central banks, law firms and other professional advisers. ICMA’s market conventions and standards have been the pillars of the international debt market for over 40 years.

www.icmagroup.org

AIDA

AIDA

A non-profit making international association with over 50 National Sections, two regional groupings (CILA and AIDA Europe), twelve active Working Parties and affiliated arbitration society members (ARIAS).

Its membership, drawn from legal and insurance professionals, academics, regulators and the judiciary from around the globe, embraces thousands with an interest at an international level in increasing the study and knowledge of international and national insurance law and its application to commercial practice and in the harmonisation of insurance laws and other means for the reduction and more effective resolution of disputes.

For details of its programme of events and activities including its XIVth AIDA World Congress taking place in Rome, 29 September to 2 October 2014 visit www.aida.org.uk.

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