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Forthcoming events and seminars


The Regulation of Asset Management

Who should attend

Senior management and compliance executives in the asset management and fund distribution industries, as well as their professional advisers.


The troubles of the banks have meant that regulatory pressure on the asset management industry has been increasing in recent years. This pressure is highly political and, in both Europe and the US, some of it derives from a lack of understanding and too rigid a belief that all sectors of the financial services industry, whether banks, insurers or asset managers, be treated in the same way.

However, that said, few dispute the need for regulatory reform in a number of key areas. The industry is accused of not having done enough to keep separate its various functions of product design, distribution and asset management. Other concerns include charging, client relations and competition between small and large firms. There are difficult issues too created by the overlap of EMIR and Dodd Frank and the potential effects of FATCA.

The purpose of this conference is, first of all, to provide a detailed analysis of the new regulatory framework that the regulators in the UK, Europe and the US are putting in place and then to examine the practical challenges that its implementation will present to the industry. Presentations and expert panels will cover the following topics:

  • The current EU agenda for the industry
  • The FCA’s supervision focus
  • The US position and regulatory overlap with Europe
  • Making FATCA compliance systems future-proof to cope with the coming wave of similar tax transparency agreements
  • Culture and product design: what are the cultural implications of putting the customer first?
  • The impact of regulation on industry and competition
  • The new challenges for depositories
  • How can IFAs best handle the increasing challenge?
  • Further down the road: what will be the impact of possible regulation on securities lending and money market trusts? 


Full details of speakers for the event can be found here.

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