New York | Boston | London | Paris


Off-the-record discussions between executives, investors, gatekeepers, researchers, practitioners and regulators, covering investment themes, regulatory issues, and best practices for the industry.

In case you missed it...

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.

Peer-to-Peer Discussions

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:

Adept Advisory
Advise Technologies
Anoa Capital
AQR Capital Management
Arendt & Medernach
Ares Management
Ascendant Compliance
Autos Gestion
AXA Investment Managers
Axis Corporate
Bessemer Trust
BNP Paribas Asset Management
BNY Mellon
Charles River Development
Charles Schwab
CIP Capital

Deutsche Bank
Edgewood Management
Efesco Consulting
EFG Private Bank
EQT Partners
Ernst & Young
Euro Exim Bank
European Central Bank
Exane Asset Management
Fidelity Institutional Asset Management
Fidelity Investments
First State Investments
Foreside Financial Group
Goldman Saches
Groupe BPCE
HSBC Global Asset Management
HSBC Private Bank

IHS Markit
Jersey Financial Services Commission
JMC Capital Partners
JP Morgan Asset Management
KYC Global Technologies
La Francaise Group
Landmark Partners
Legg Mason Global Asset Management
Natixis Global Asset Management
PAR Capital Management
PfP Capital
Pinnacle Investments
Principal International

Securities and Exchange Commission
Sidley Austin
Simpson Thacher
SMA Gestion
Starr Investment Holdings
State Street Bank
Suedtiroler Sparkasse
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
Themis Banque
Thomson Reuters
Warburg Investment
99 Advisory

Featured Speaker and Experts

Ted Becker

Ted Becker

Managing and Global Compliance Director
Legg Mason Global Asset Management
David Blass

David Blass

Simpson Thacher
Jim Casella

Jim Casella

Chairman and CEO
Compliance Solutions Strategies
Jean-Charles Delcroix

Jean-Charles Delcroix

Chief Compliance Officer
Amundi London Branch and UK Ltd
Gerben De Jong

Gerben De Jong

Principal Supervisor
European Central Bank
Oliver Esslinger

Oliver Esslinger

Chief Operating Officer
Deutsche Bank
Evgueni Ivantsov

Dr. Evgueni Ivantsov

European Risk Management Council
Liban Jama

Liban Jama

Ernst and Young
Stephane Janin

Stephane Janin

Head of Global Regulatory Development
AXA Investment Managers
Brendan Kalb

Brendan Kalb

Managing Director and General Counsel
AQR Capital Management
Thomas Kennedy

Thomas Kennedy

Principal Director of Investment Management and Compliance
Bessemer Trust
Dror Kenett

Dr. Dror Kenett

Financial Industry Regulatory Authority (FINRA)

Ephraïm Marquer

Global Head of Compliance
BNP Paribas Asset Management
Evan Minskoff

Evan Minskoff

Head of Brand and Global Growth Strategy
Terry Yodaiken

Terry Yodaiken

Head of Operations, EMEA
First State Investments
Scroll to Top