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Virtual Conference

Watch Regulatory Horizon 2021 Navigating Evolving Risks On Demand

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On Demand Sessions

UK Regulatory Regime Post-Brexit 

Freed from the yoke of European Directives, how will the UK’s regulatory regime develop in the years ahead? Our panellists look at some of the immediate challenges of operating in the UK and Europe since 1 January as well as sharing their views on how UK conduct of business rules may evolve. Issues discussed include the proposed UK/EU regulatory cooperation framework. Whether equivalence will remain the watchword and where might we see divergence? And what should we expect from the anticipated reformed onshore regime for alternative funds?


Are You Ready? ESG Regulatory Developments 2021 and Beyond

Investor and regulator focus on environmental, social, and governance (ESG) issues have been gathering increasing momentum globally, with the UK and EU setting the pace. From the EU’s Action Plan on Financing Sustainable Growth, including EU’s Sustainable Finance Disclosure Regulation (SFDR), which set a progressive agenda for encouraging capital flows and transparency, to the FSB’s Taskforce on Climate related disclosures, to the UK’s goal to match the ambition of the EU Sustainable Finance Action Plan, it is apparent ESG will remain a focal point of investment firms for many years to come.

During this session panellists discussed the current state of sustainability and ESG regulation in the investment process, what is expected of firms now and in the future, and how to build out an effective ESG programme to stay competitive in the market and stand up to regulatory scrutiny.


Future of Risk and Compliance Programmes in an Age of RiskMutation™

The COVID-19 pandemic has changed the way that businesses function. With the changing geo-political climate, market volatility, and remote environments becoming the new norm there are challenges and risks to face. This session discussed ideas around building and managing a scalable compliance programme across jurisdictions, including the effective and efficient use of regulatory technology, outsourcing solutions, and the importance of operational resilience


Outlook for the UK’s Investment Firm Prudential Regime (IFPR)

With the implementation date for the UK’s IFPR put back until 1 January 2021, observers are watching carefully of any divergence from the EU’s own reformed prudential regime that comes into force in June 2021. With the publication the FCA’s first consultation paper on the IFPR, we now have some further clarity on the FCA’s view of certain aspects of the IFPR including prudential consolidation and own funds requirements. This session provides an overview of the state of play, including the key impact points for investment managers.


LIBOR Transition: Almost There…

With LIBOR ceasing to exist later this year, what effects will this have on the alternative manager space? Managers need to adopt a holistic approach to tackling their LIBOR exposures. Panellists discuss the challenges associated with removing this benchmark,  updating contracts, adjusting valuations methodologies, and revising investor reporting and marketing materials.


Key Issues for Private Markets Managers

An open session where our panel of consultants and industry practitioners discuss the year ahead from a commercial and regulatory perspective. 2020 proved a challenging year, with firms navigating the global pandemic, changing investor demands, and continued regulatory change. Against a backdrop of continued uncertainty, we examine the areas for optimism and opportunity and where the private markets sector should proceed with caution.


The GIPS® Standards and Performance, a Year in Review

2020 was arguably the most eventful year in a decade for those in the investment performance industry with revolutionary updates to the Global Investment Performance Standards (GIPS®), increased M&A activity, a boom in the model distribution channels and a new FINRA guidance that references the GIPS standards. This session will look to connect the dots between those developments and discuss the impact on alternative managers looking to market performance.


Lessons from the Trade and Transaction Reporting Frontline 

Complete, accurate and timely reporting under MiFIR and EMIR remains the white whale of regulation for many firms. Against a backdrop of escalating regulatory rhetoric and widespread data quality issues identified by ACA throughout 2020, this session looks at case studies which illustrate the scale of the problem, the most common failings, and recommendations for addressing them in a meaningful and cost-effective way.


Tackling Regulations and Compliance Through RegTech

Firms globally are turning to technology at a record rate thanks in large part to the pandemic. According to industry analyst Greenwich Associates, 58% of firms invested in third-party surveillance technology in 2020, almost double from the same period in 2019. This is supported by the findings in Thomson Reuters' Fintech, RegTech and the Role of Compliance Report 2021: of the 400 compliance and risk practitioners surveyed, 70% said the pandemic has increased their reliance on technology.

But while firms are making progress with the digitization of their compliance programs, there is still work to be done.

This RegTech demo session outlines how ComplianceAlpha can help you manage your evolving business needs and regulatory demands.


Looking Ahead: A Review of FCA & SEC Priorities and What to Focus on in 2021

In this wrap-up session we discuss some of the key developments across these two regulatory regimes, which items should feature as priorities on your “to-do” list for 2021, what are the lessons from the recent Reddit investor activism, and how firms are responding to increased surveillance by regulators around the world. 





For questions or more information regarding Regulatory Horizon 2021 Virtual Conference, please contact our webcast team. 


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