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From Afterthought to Growth Driver: The (R)Evolution of Compliance, Risk and Data Management
Compliance in investment management went from overlooked back office function to strategic growth driver and top C-Level concern in a matter of years. Compliance head counts are skyrocketing and CCO is the the new hot job on Wall Street. Yet, despite the potential black swan costs when mismanaged and the growing complexity of adhering to global/local regulatory and reporting requirements, there is no peer-to-peer platform for C-level executives to examine best practices and develop compliance thought leadership.
The Compliance Strategy Institute (CSI) series of global compliance roundtables focuses on CCO thought leadership that can be communicated, managed and implemented proactively. CSI deals with the themes of strategic priority for CEOs and CIOs, as they think on a high level about compliance and its business impact for the coming years (CIO and board relations, next generation reporting, alternatives as the next compliance frontier, outsourcing compliance functions, reputation and regulation, etc).
Simultaneously, the CSI addresses the more technical and operationally essential issues CCOs and their compliance departments are faced with to ensure the sustainability and growth of their organizations (the “multi”-maze, product innovation, MiFID II, cost-benefit compliance analysis, changes in IT, data and reporting, and more).
How can investment managers manage data and reporting to increase profitability and market share in a new era of regulation? In addition to providing proprietary research on regulatory trends, the CSI allows for off-the-record discussions between executives, investors, gatekeepers, researchers, practitioners and regulators, covering investment themes, regulatory issues, and best practices for the industry.
Set up as strategic events in financial centers around the world, all discussions are off the record and under Chatham House Rule.
The CSI executive roundtables spanned, New York, Boston, London and Paris and included senior representation from global asset managers, hedge funds, private equity and boutique investment houses, wealth mangers, the SEC, the European Central Bank, investment consultants, leaders in brand, fashion, new media, and think thanks, including:
AQR Capital Management
Arendt & Medernach
AXA Investment Managers
BNP Paribas Asset Management
Charles River Development
EFG Private Bank
Ernst & Young
Euro Exim Bank
European Central Bank
Exane Asset Management
Fidelity Institutional Asset Management
First State Investments
Foreside Financial Group
HSBC Global Asset Management
HSBC Private Bank
Jersey Financial Services Commission
JMC Capital Partners
JP Morgan Asset Management
KYC Global Technologies
La Francaise Group
Legg Mason Global Asset Management
Natixis Global Asset Management
PAR Capital Management
Securities and Exchange Commission
Starr Investment Holdings
State Street Bank
Sumitomo Mitsui Banking Corporation
Sycomore Asset Management
TD Asset Management
The Boston Company Asset Management
The Compliance Foundation
The Economist Intelligence Unit
The Midway Group