The IMS Group's Regulatory Forum - 25th January 2012

Coping efficiently with regulatory change on a domestic and international level

Change is inevitable: the regulatory environment is no more likely to remain constant than any capital market or other economic factor. At a time when the regulatory arena is experiencing an unprecedented level of change, a healthy, proactive compliance culture is the nearest a firm can get to future-proofing its practices. It’s also the most stable platform from which to cope with regulatory change.

In a world of finite time and resources, ranking regulatory developments by their impact and proximity is essential. As regulatory deadlines draw closer regulated businesses need to be able to plan for and prioritise these changes effectively and efficiently.

The IMS Group’s Regulatory Forum will educate and prepare investment firms for what lies ahead in 2012 and beyond by initiating discussions amongst industry experts, including spokespersons from the FSA and AIMA, and attendees on the key regulatory occurrences in terms of their proximity and precedence while also airing and sharing some pragmatic solutions to them.

The event will be held on Wednesday, 25^th January 2012 at Bloomberg’s premises in the City of London and will inform and entertain executives at wholesale financial services firms, in particular Compliance Officers, COOs and CEOs.

Industry experts will include The IMS Group’s staff, regulators, leading regulatory lawyers and executives of leading trade bodies.

Date: Wednesday 25th January 2012
Location: Bloomberg's London office, City Gate House, 39-45 Finsbury Square, EC2A 1PQ
Timing: 2.30pm - 6.30pm followed by drinks and canapés

Agenda

 2:30pm Registration

3:00pm – 3:10pm Chairman’s Welcome and Introduction, Peter Moore, Head of Regulation and Compliance, The IMS Group

3:10pm – 3:40pm Keynote speech on "Coping efficiently with regulatory change" - Lord Myners CBE

3:40pm – 4:20pm Panel session on practical responses to the UK regulatory agenda and change

-Peter Moore, The IMS Group - Moderator
- Harvey Knight, Withers
- Simon Thomas, Akin Gump Strauss Hauer & Feld
- William Douglas, Goldman Sachs
- Michael Lloyd, Financial Services Authority

4:20pm - 4:35pm  Meeting regulatory challenges for Risk Managers - Elisa Perna, Head of Risk Management, The IMS Group

 4:35pm – 4:55pm 20 min interval - light refreshments

4:55pm – 5:25pm Dual FSA and SEC Registration - A practical overview of the scope for synergy in a compliance programme that needs to serve multiple purposes - Jonathan Wilson, Director of Project Consulting, The IMS Group and Bill Mulligan, HedgeOp Compliance, an IMS Group company

5:25pm – 6:15pm Panel session – What is lurking on the international regulatory horizon, when will it hit the UK and what to do in response?

- Tim Dolan, Pinsent Masons - Moderator
- John Hindley, Credit Suisse
- Neil Robson, Schulte Roth & Zabel
- Anna Larris, AIMA
- Darren Fox, Simmons & Simmons  
- Leonard Ng, Sidley Austin

6:15pm – 6:25pm Panel session - "Defending the indefensible" - A light hearted round up to the day’s event in the course of which industry experts will be challenged to switch sides of the regulatory debate.

6:25pm – 6:30pm Chairman’s closing comments, Peter Moore, Head of Regulation and Compliance, The IMS Group

6:30pm Drinks and canapés

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To enable us to provide an informative and insightful regulatory forum, we would like to gather your thoughts and opinions on upcoming regulatory developments. As a result we have put together a few questions that we hope you could take a couple of minutes to complete upon registration. This is a free forum for all IMS clients and contacts. To register please click here or contact Nicole Ratinon on 0207 408 2448 detailing the names and numbers of attendees from your firm.