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The 26th Annual Forum
Europe’s Leading Global Investor Services Gathering
Main Conference: Tuesday 1 & Wednesday 2 December, 2015
Custodian Selection Workshop: Monday 30 November, 2015
Custody Law Training Course: Thursday 3 & Friday 4 December, 2015
Hilton London Tower Bridge Hotel
Key Industry Speakers Taking Part This Year Include:
Sonia MaloneyCOO
NORREP CAPITAL MANAGEMENT
Alan CameronHead of Relationship
Management, International Banks and Brokers
BNP PARIBAS SECURITIES SERVICES
Dr. Leda GlyptisHead of EMEA Innovation
CentreBNY MELLON
Jürg UngerHead Custody & Vendor
Relationship ManagementSWISS RE
Penelope BiggsHead of Institutional Investor
Group, EMEANORTHERN TRUST
Dr Christopher SierCo-Lead
FINEXUS
www.globalcustodyforum.com Tel: +44 (0) 20 7017 7200 Email: [email protected]
www.globalcustodyforum.com Tel: +44 (0) 20 7017 7200 Email: [email protected]
GCF 2015 Partners ContentsPage 2 Partners & Content
Page 3 Editor’s Choice - Fresh Perspectives & New Thinking
Page 4 Custodian Selection Workshop
Page 5 & 6 Main Conference Day One
Page 7 Main Conference Day Two
Page 8 Custody Law Couse
Page 9 Speaker List
Page 10 Client Line-Up and Partner Opportunities
Page 11 Sponsor Profiles
Page 12 Booking Form
Co-Sponsor
Associate Sponsors
Supporting Sponsors Supporting Organisation
3www.globalcustodyforum.com Tel: +44 (0) 20 7017 7200 Email: [email protected]
NEW PERSPECTIVES AND NEW THINKING
The Future Of FinanceNitin Mehta MD – Europe CFA INSITUTE
Disruption, Innovation And FinTech Dr Christopher Sier Co-Lead FINEXUS
Is Custody Affordable And Is Consolidation Upon Us? Dominic Hobson Founder COO CONNECT
Digitilisation - What Is Good Big Data? Sonia Maloney COO NORREP CAPITAL MANAGEMENT
www.globalcustodyforum.com Tel: +44 (0) 20 7017 7200 Email: [email protected]
Pre-Conference One Day Workshop The Evaluation, Selection & Monitoring Of Your Custodian
Monday 30 November 2015
09:00 Registration & Coffee
09:30 Workshop Commences
Strategic Issues Facing the Custody Industry• Changing asset allocation• Custody issues: different perspectives• Custodian responses• Commitment
Best Market Practice in Evaluation and Selection• Reviewing existing custody arrangements• Current and future operating models• The benefits of switching custodians• Lessons learnt from client experiences
Planning and Preparing the RFP• Recommend approach for reviewing and appointing global custodian• Benchmarking services against best market practice• Collecting data from the RFP• Due diligence frameworks• Contract and service level agreement• DIY or use external specialist• Preparing the RFP
Short-listing Candidates Through Detailed Analysis• Key criteria for evaluating custodians• Consolidating the responses for comparative analysis• RFP scoring methodology• Analysis of responses• Assessing the quality of systems and communication responses• Fees
Making the Decision• The implementation process• Due diligence framework• Contracts and service level agreements• Assessing the risks
Performance Monitoring and Custodian Ratings• Managing the custodial relationships• Performance measurement • Private custody ratings and custodian monitoring• Understanding your capital market infrastructure risk
17:00 Final Q&A and Workshop Closes
Led by
Thomas Murray IDS reserve the right of admission to this workshop which is only open to asset management and pension fund groups.
5www.globalcustodyforum.com Tel: +44 (0) 20 7017 7200 Email: [email protected]
Main Conference Day One Tuesday 1 December 2015
Sonia MaloneyCOO
NORREP CAPITAL MANAGEMENT
Mark SchoenGlobal Investor
Solutions LeaderBNP PARIBAS SECURITIES SERVICES
Penelope BiggsHead of Institutional
Investor Group, EMEA
NORTHERN TRUST
08:45 Registration & Coffee
09:20 Chairman’s Opening Remarks Simon ThomasCEOTHOMAS MURRAY INVESTOR DATA SERVICES
09:30 Keynote Address: Is Custody Affordable And Is Consolidation Upon Us? Dominic Hobson, FounderCOO CONNECT
10:10 The Emerging Custody Landscape: Evolution or Revolution? Penelope BiggsHead of Institutional Investor Group EMEA NORTHERN TRUST
10:50 Morning Coffee
11:20 How Will The Role Of The Global Custodian Change In The Future? And How Will Its Servicing Of Pension Funds And Asset Managers Change?
Kyle Ringrose, Head of Investment OperationsQSUPERSonia Maloney, COONORREP CAPITAL MANAGEMENTMark Schoen, Global Investor Solutions LeaderBNP PARIBAS SECURITIES SERVICESMurray Preston, Director – Global Provider StrategyBLACKROCK
12:10 Guest Speaker: The Future Of Finance Nitin Mehta, MD – Europe, CFA INSITUTE
12:50 Lunch & Special Focus Roundtables
Custodian Selection FinTech Outsourcing T2S
Stream A: Strategy, New Product Developments & Value Added Services For Asset Managers and Pension Funds
Stream B: Clearing & Settlement And Operations
14:20 Digitilisation - What Is Good Big Data? And How Can It Be Turned Into A Value Added Service For Clients?
T2S Update – Lessons Learnt And Preparing For The 2nd Wave
Sonia MaloneyCOONORREP CAPITAL MANAGEMENT
Dr. Leda GlyptisHead of EMEA Innovation CentreBNY MELLON
Tony Russell DirectorCOMMERZBANK
Dominic Hobson FounderCOO CONNECT
Alan Cameron, Head of Relationship Management, International Banks and BrokersBNP PARIBAS SECURITIES SERVICESDirk Pullman, Directorate General Payment Systems and Market Infrastructure, EUROPEAN CENTRAL BANK
Jane Levi, Director SILPHIUM CONSULTING LTD
Iwona Sroka, President & CEO KDPW and KDPW_CCP
Guido Wille, Executive Vice President, Head of Market Development, CLEARSTREAM
www.globalcustodyforum.com Tel: +44 (0) 20 7017 7200 Email: [email protected]
Stream A: Strategy, New Product Developments & Value Added Services For Asset Managers and Pension Funds
Stream B: Clearing & Settlement And Operations
15:00Time For Innovation Or Is Status Quo Enough?Jürg UngerHead Custody & Vendor Relationship ManagementSWISS RE
Regulatory Roundup: EMIR, MiFID, MIFIR, AIFMD, UCITS V – What Are Custodial Liabilities And Obligations Now?
Paul NorthHead of Product Management EMEABNY MELLON
15:25 Latest Developments In Collateral Management(speaker to be announced)
15:50 Afternoon Tea Afternoon Tea
16:10 Taxation Risk - Role Of Global Custodian(speaker to be announced)
Latest Thinking On Counterparty Risk, Recovery & ResolutionHabib MotaniPartnerCLIFFORD CHANCE
16:40 How Are Regulatory Changes Impacting Beneficial Owners And The Securities Lending Landscape?
Panel: How Will Mandatory Clearing Impact The Custody Business
Sara-Jane Baker Director, Group Network ManagementUBS
Jan M. Heckler, CFAManaging Director; Head Business Services Asset ManagementSWISS RE
Damian CarolanPartnerALLEN & OVERY
Gildas Le TreutGlobal Director Prime Clearing ABN AMRO CLEARING
Stefan KaiserDirector – Securities LendingBLACKROCK
Philip MorganHead of Prime Finance SalesNOMURA
18:00 - 22.00
GCF 2015 Evening Party hosted by
Main Conference Day One Tuesday 1 December 2015
Iwona SrokaPresident & CEO
KDPW and KDPW_CCP
Stefan KaiserDirector – Securities
LendingBLACKROCK
Dr. Leda GlyptisHead of EMEA
Innovation CentreBNY MELLON
7www.globalcustodyforum.com Tel: +44 (0) 20 7017 7200 Email: [email protected]
Main Conference Day two Wednesday 2 December 2015
09:00 Morning Coffee
09:30 Chairman’s Opening Remarks
09:40 NEW Research In Innovation And FinTech Dr Christopher SierCo-LeadFINEXUS
10:20 Asset Safety In Focus: How Account Holding Structures Can Impact The Safety Of Invested Assets
Nick Bradley Chief Risk Officer THOMAS MURRAY DATA SERVICES
Jim Micklethwaite Director and Head of Capital Market Ratings THOMAS MURRAY DATA SERVICES
11:00 Morning Coffee
11:30 Outsourcing Update – Where Is The Industry Now? Les BealeHead of Global Product & Strategy - Investment Operations OutsourcingNORTHERN TRUST
Tamara Cizeika Senior AssociateALLEN & OVERY
Susan Wright Regulatory & Compliance SpecialistTHE INVESTMENTASSOCIATION
Andrew ButlerHead of Product & Solutions and Co-Head of Asset & Fund Services (AFS)BNP PARIBAS SECURITIES SERVICES
12:20 CHATHAM HOUSE RULE: Exchange Clearing – The Impact And Decisions Pension Plans Really Face
Large Corporate Pension Plan – special guest speaker to be announced on the day
13:00 Lunch
14:00 Special Afternoon Country Focus: How Will Regional Developments Impact The Operations And Global Custody Space?a) Saudi Arabiab) HK/Shanghai/Shenzhen Stock Connectc) Africa
15:40 Chairman’s Closing Remarks
16:00 Close Of GCF 2015
Susan WrightRegulatory &
Compliance SpecialistTHE INVESTMENT
ASSOCIATION
Tamara CizeikaSenior Associate
ALLEN & OVERY
Dr Christopher SierCo-Lead
FINEXTRA
www.globalcustodyforum.com Tel: +44 (0) 20 7017 7200 Email: [email protected]
The A-Z of Global Custody Law
Post-Conference Two Day Training Course Thursday 3 December 2015 - Friday 4 December 2015
Day One: Thursday 3 December
09:00 Registration
BACKGROUND• What is a Global Custody Agreement?• What are the general issues that the Agreement has to address?• The effect of foreign laws on sub-custody issues• The use of securities depositories
THE CASH ACCOUNT• Banking law and a banker’s duties• The use of client money accounts• The holding of money outside the jurisdiction• Money held for investment purposes
17:00 Close of Day One
Day Two: Friday 4 December
09:00 Registration
SPECIFIC ISSUES• Money Laundering• Taking Security• Liability and Indemnity• Instructions• Other Issues• Agency Functions• Further Developments in the Custody Service
17:00 Final Q&A
Led by Matthew Baker
Partner BERWIN LEIGHTON PAISNER
Matthew Baker is a partner in the Investment Management
team at international law firm, Berwin Leighton Paisner.
Matt advises on financial and banking regulation under
UK and EU legislation and regulation (such as MiFID
and AIFMD). In particular, he focuses on advising investment
managers and investors on investment management
matters, including investments, custody and administration.
Matt advises on the law and practice relating to global
safekeeping, administration and servicing of financial
instruments (global custody).
9www.globalcustodyforum.com Tel: +44 (0) 20 7017 7200 Email: [email protected]
SPEAKERS• Sara-Jane Baker
Director UBS
• Matthew Baker Partner Berwin Leighton Paisner LLP
• Les Beale Head of Global Product & Strategy - Investment Operations Outsourcing Northern Trust
• Penelope Biggs Head of Institutional Investor Group, EMEA Northern Trust
• Nick Bradley Chief Risk Officer Thomas Murray Data Services
• Andrew Butler Head of Product & Solutions and Co-Head of Asset & Fund Services (AFS) BNP Paribas Securities Services
• Alan Cameron Head of Relationship Management, International Banks and Brokers BNP Paribas Securities Services
• Damian Carolan Partner Allen & Overy
• Tamara Cizeika Senior Associate Allen & Overy
• Dr. Leda Glyptis Head of EMEA Innovation Centre BNY Mellon
• Jan M. Heckler, CFA Managing Director; Head Business Services Asset Management SWISS RE
• Dominic Hobson Founder COO Connect
• Stefan Kaiser Director - Global Securities Lending BlackRock
• Gildas Le Treut Global Director Prime Clearing ABN AMRO CLEARING
• Jane Levi Director Silphium Consulting
• Sonia Maloney COO Hesperian Capital Management
• Nitin Mehta MD – Europe CFA Institute
• Stephen Merry Director Thomas Murray IDS
• Jim Micklethwaite Director and Head of Capital Market Ratings Thomas Murray Data Services
• Philip Morgan Head of Prime Finance Sales Nomura
• Habib Motani Partner Clifford Chance
• Paul North Head of Product Management EMEA BNY Mellon
• Murray Preston Director - Global Provider Strategy BlackRock
• Dirk Pullman Directorate General Payment Systems European Central Bank
• Kyle Ringrose Head of Investment Operations Qsuper
• Tony Russell Director Commerzbank
• Mark Schoen Global Investor Solutions Leader BNP Paribas Securities Services
• Chris Sier Co-Lead FINEXUS
• Iwona Sroka President & CEO KDPW and KDPW_CCP
• Simon Thomas Chief Executive Officer Thomas Murray Investor Data Services
• Jürg Unger Head Custody & Vendor Relationship Management Swiss Reinsurance Company Ltd
• Guido Wille Executive VP Clearstream
• Susan Wright Senior Advisor, Regulation The Investment Association
www.globalcustodyforum.com Tel: +44 (0) 20 7017 7200 Email: [email protected]
client line-up
“Good range of topics which were relevant & debated well.”
Murray J Preston, Blackrock (attendee at GCF 2014)
Taking A Leading Role At GCF 2015
The Global Custody Forum presents an unrivalled opportunity to raise your profile and align your brand with Europe’s leading global investor services gathering for senior representatives from the custody, pension fund and asset management community.
For a tailored proposal, please don’t hesitate to contact me via email or phone, as per my details below:
Jeff Ong Sponsorship & Exhibitions Manager Email: [email protected] Tel: +44 (0) 20 7017 7240
Buyside clients already booked to attend include:
• New Zealand Superannuation Fund
• Castilium
• Mawer
• Lloyds Banking
• Generali Investments Europe Sgr Spa
• PFA Pensions Denmark
• Zurich UK Life
• Columbia Threadneedle
• Coal Pension Trustees Services Ltd
• AP7
• APG Asset Management
• Folketrygdfondet
• Blackrock
• Swiss Re
• Norrep Capital Management
• qSuper
• Nestlé Capital Advisers S.A.
• Abu Dhabi Investment Authority
• Storebrand
• IBM Pensions
• J.P. Morgan Asset Management
11www.globalcustodyforum.com Tel: +44 (0) 20 7017 7200 Email: [email protected]
GCF 2015 SponsorSCo-Sponsor
BNP Paribas Securities Services, a wholly-owned subsidiary of the BNP Paribas Group, is a leading global custodian and securities services provider backed by the strength of a universal bank. It provides integrated solutions for all participants in the investment cycle, from the buy-side and sell-side to corporates and issuers. Covering over 100 markets, with our own offices in 34 countries, the BNP Paribas network is one of the most extensive in the industry. We bring together local insight and a global network to enable clients to maximize their market and investment opportunities worldwide. Key figures as of 31 March 2015: USD 8.973 trillion assets under custody, USD 1.707 trillion assets under administration, 8,134 administered funds and 8,800 employees.
BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 35 countries and more than 100 markets. As of March 31, 2015, BNY Mellon had $28.5 trillion in assets under custody and/or administration, and $1.7 trillion in assets under management. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. BNY Mellon is the corporate brand of The Bank of New York Mellon Corporation (NYSE: BK). Additional information is available on www.bnymellon.com, or follow us on Twitter @BNYMellon.
FinanceMalta, a non-profit public-private initiative, was set up to promote Malta’s international Business & Financial Centre, both within, as well as outside Malta. It brings together, and harnesses, the resources of the industry and government, to ensure Malta maintains a modern and effective legal, regulatory and fiscal framework in which the financial services sector can continue to grow and prosper. The Board of Governors, together with the founding associations: The Malta Funds Industry Association, the College of Stockbrokers, the Malta Bankers Association, the Malta Insurance Association, the Association of Insurance Brokers, the Institute of Financial Services Practitioners, and the Malta Insurance Managers Association which is also affiliated; its members and staff are committed to promote Malta as a centre of excellence in financial services and international business.
Northern Trust is a leading provider of asset servicing and asset management solutions for global asset owners and institutional investors including pension funds, insurance companies, sovereign entities and investment managers. Comprehensive solutions range from the provision of global custody to specialist investment accounting, institutional governance services, back and middle-office solutions and cross-border asset pooling. A proven partner to some of the world’s most successful investors, these solutions also draw on long-standing expertise in servicing the full spectrum of investment strategies, encompassing traditional to alternative asset classes.
Supporting Sponsors
Associate Sponsors
Supporting Organisation Media Partners
Delegates are responsible for the arrangement and payment of their own travel and accommodation. If you wish to book a room at the hotel venue, then please download the hotel booking form from www.globalcustodyforum.com
50% discount
Register Now – Four Easy Ways! 1. Fax this form on +44 (0) 20 7017 7807 2. Telephone us on +44 (0) 20 7017 7200 3. Email: [email protected]. Via the website: www.globalcustodyforum.com
Venue DetailsHilton London Tower Bridge Hotel5 More London Place Tooley StreetLondon SE1 2BYUnited KingdomTel: +44 (0) 20 3002 4300Web: www.hilton.co.uk/towerbridge
teRMs anD COnDitiOns: Attendance at this conference is subject to the ICBI Delegate Terms and Conditions at http://www.informaglobalevents.com/division/icbi/termsandconditions. Your attention is drawn in particular to clauses 6, 8 and 14 of the ICBI Delegate Terms and Conditions which have been set out: Cancellation Policy: If you cancel in accordance with this policy, you will receive a refund of your fees paid to ICBI (if any): (i) if you cancel your registration 28 days or more before the Conference, subject to an administration charge equivalent to 10% of the total amount of your fees plus VAT; or (ii) if you cancel your registration less than 28 days, but more than 14 days before the Conference, subject to an administration charge equivalent to 50% of the total amount of your fees plus VAT. ICBI regrets that the full amount of your fee remains payable in the event that your cancellation is 14 days or less before the Conference or if you fail to attend the Conference. All cancellations must be sent by email to [email protected] marked for the attention of Customer Services and must be received by ICBI. You acknowledge that the refund of your fees in accordance with this policy is your sole remedy in respect of any cancellation of your registration by you and all other liability is expressly excluded. Changes To The Conference: ICBI may (at its sole discretion) change the format, speakers, participants, content, venue location and programme or any other aspect of the Conference at any time and for any reason, whether or not due to a Force Majeure Event, in each case without liability. Data protection: The personal information which you provide to us will be held by us on a database. You agree that ICBI may share this information with other companies in the Informa group. Occasionally your details may be made available to selected third parties who wish to communicate with you offers related to your business activities. If you do not wish to receive these offers please contact the database manager. For more information about how ICBI use the information you provide please see our privacy policy at: http://www.informaglobalevents.com/division/icbi/termsandconditions. If you do not wish your details to be available to companies in the Informa Group, or selected third parties, please contact the Database Manager, Informa UK Ltd, 149 Tottenham Court Road, London, W1T &AD, UK. Tel: +44 (0)20 7017 7077, fax: +44 (0)20 7017 7828 or email [email protected] incorrect Mailing: If you are receiving multiple mailings or you would like us to change any details, or remove your name from our database, please contact the Database Manager at the above address quoting the reference number printed on the mailing label.By completing and submitting this registration form, you confirm that you have read and understood the iCBi Delegate terms and Conditions and you agree to be bound by them.
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DisCOunts: All discounts are subject to approval. All discounts can only be claimed at the time of registration and multi-booking discounts cannot be combined with other discounts that may be available (apart from early booking discounts which are available to everyone).50% Discount for third and subsequently registered delegates for any packages that include the main conference. The VAT rate is subject to change and may differ from the advertised rate. The amount you are charged will be determined when your invoice is raised.Please note the conference fee does not include travel or hotel costs.We are happy to accept a replacement delegate for the whole event, however delegate passes cannot be split or shared between delegates under any circumstances. Conference code FKP2393
PaYMent Details: Please use this form as our request for payment. Fax and phone bookings should be made with a credit card number, or followed up by a posted registration form. Places are only guaranteed by full payment, which must be received before the conference. I will pay by:
Cheque/bankers draft made payable to ICBI for £............................................... Invoice to be sent to my company Bank transfer - full details of bank transfer options will be given with your invoice on registration.
to make payment by credit card: to ensure we provide the highest level of security for your credit card details we are unable to accept such payments via email or fax which ensures that these details are never stored on our network. To make payment by credit card on-line, please enter your credit card details in our secure payments website that you will use when making your booking via the event website: www.globalcustodyforum.comAlternatively call our customer service team on +44 (0) 20 7017 7200
Monday 30 November: Custodian Selection WorkshopTuesday 1 – Wednesday 2 December: Main ConferenceThursday 3 - Friday 4 December: Custody Law Course
PLEASE SELECT YOUR PACKAGE DATES Register By11 September 2015 saVe Register By
30 October 2015 saVe Register After30 October saVe
5 Day Package: Conference + Workshop + Law Course
30 November – 4 December 2015
£3497 (+ 20% VAT) = £4,196.40 £800 £3797 (+ 20% VAT)
= £4,556.40 £500 £3997 (+ 20% VAT) = £4,796.40 £300
4 Day Package: Conference + Law Course 1 - 4 December 2015 £2798 (+ 20% VAT) = £3,357.60 £500 £2998 (+ 20% VAT)
= £3,597.60 £300 £3198 (+ 20% VAT) = £3,837.60 £100
3 Day Package: Conference + Workshop 30 November – 2 December 2015
£2398 (+ 20% VAT) = £2,877.60 £400 £2598 (+ 20% VAT)
= £3,117.60 £200 £2698 (+ 20% VAT) = £3,237.60 £100
2 Day Package: Conference Only 1 - 2 December 2015 £1599 (+ 20% VAT) = £1,918.80 £200 £1699 (+ 20% VAT)
= £2,038.80 £100 £1799 (+ 20% VAT) = £2,158.80 -
2 Day Package: Law Course Only 3 - 4 December 2015 £1299 (+ 20% VAT) = £1,558.80 £200 £1399 (+ 20% VAT)
= £1,678.80 £100 £1499 (+ 20% VAT) = £1,798.80 -
1 Day Package: Workshop Only 30 November 2015 £899 (+ 20% VAT) = £1,078.80 £100 £999 (+ 20% VAT) =
£1,198.80 - £999 (+ 20% VAT) = £1,198.80 -