The timely and highly practical MiFID conference will bring together leading compliance and regulatory experts from a range of financial institutions, professional firms and the regulator to help you prepare for the first annual MiFID themed FSA visit, addressing such issues as:

• The FSA perspective: industry trends, regulatory expectations and identifying monitoring priorities
• Identifying transaction reporting responsibilities and challenges
• Examining effective criteria for monitoring best execution and how to demonstrate your best execution policy is operating effectively
• Demonstrating effective systems & controls for suitability and appropriateness
• Improving your data handling system to better support the MiFID requirements and opportunities
• Examining experiences and impact of more principles-based regulation
• Benchmarking your approach to measuring and reporting best execution performance against evolving best practices

This practical programme will be of great value to Senior Professionals in Compliance, Monitoring, Audit, Risk or Business Strategy departments from Investment Banks, Fund Managers and Brokers.

9.00 Registration Opens

9.30 Chairperson’s Introduction

Rob Moulton
Partner
NABARRO

9.40 Reviewing MiFID Implementation and Identifying Monitoring Priorities

• Industry response
• MiFID developments in the EU
• Preparing for MiFID themed FSA Visit
• Identifying post-MiFID and ongoing risks

Representative
FINANCIAL SERVICES AUTHORITY

10.20 Identifying Trade and Transaction Reporting Responsibilities and Challenges

• Objectives of the FSA Transaction Monitoring Unit
• Use of transaction reports
• MiFID implications on transaction reporting
• UK specific requirements
• Current issues and challenges
• Management information
• FSA communications

Monique Melis
Member, International Regulation & Financial Crime
KINETIC PARTNERS

11.00 Refreshments

11.20 Monitoring and Evidencing Best Execution

• Defining Best Execution
• Developing appropriate metrics
• Measuring Best Execution with Transaction Cost
  Analysis
• Optimising the process to achieve Best Execution
• Building an effective monitoring process
• Reviewing the Best Execution Policy

Andrew Bowley
Executive Director
Head of Electronic Trading Services Product Management
LEHMAN BROTHERS

Panel Discussion
11.50 Best Practice Approaches to Reporting Best Execution Performance

• Measuring Best Execution
• Gathering data from counterparties (execution venues, brokers, etc.)
• Producing internal MI to evidence your Best Execution Policy is operating effectively

Kevin Quinlan
Senior Consultant
IMS

Jane Lowe
Director, Markets
INVESTMENT MANAGEMENT ASSOCIATION

Patrick Buckingham
Partner
HERBERT SMITH LLP

Terry Sahathevan
Compliance Officer
WILLIAMS DE BROE

12.20 Managing and Monitoring Conflicts of Interest and Inducements under MiFID

• Identifying conflicts in your firm
• Determining appropriate conflict management
  strategies
• Monitoring for effectiveness of conflicts
  procedures
• Training and awareness on policies and
  procedures
• The implications of the regulator’s principlesbased
  approach

Roland Nattrass
Senior Associate
NABARRO

1.00 Lunch

2.00 Ensuring and Demonstrating Suitability and Appropriateness

• Understanding the scope of the suitability and appropriateness regimes
• Relationship between sell-side and buy-side
• Impact on client relationship - particularly Professional Clients
• Demonstrating effective systems and controls
• Challenges and pitfalls

John Ahern
Partner
DLA PIPER

2.40 How to Improve Your Data Handling System to Better Support the MiFID Requirements and Opportunities

• How good quality data lies on the path to
  realising good quality Management Information?
• What can firms do to save money through seeing
  the value in regulatory convergence measures?
• What practical steps can firms take to raise their
  game? What are the accelerators and
  dependencies?

Anthony Kirby
Director, Financial Services Advisory
ERNST & YOUNG

3.20 Refreshments

Panel Discussion
3.40 Examining Experiences and Impact of More Principles-Based Regulation

• How does principles-based regulation fit in with MiFID
• Implications for business
• What changes can you make to get most out of MPBR
• Supporting Senior Management
• Ensuring a corporate culture of integrity

Mike Parker
Director of Regulatory Affairs
DEUTSCHE BANK

James Hudson
Senior Manager, Fixed Income Advice
M & G INVESTMENT MANAGEMENT

Fiona Raistrick
Senior Manager
BDO STOY HAYWARD

4.20 Chairperson’s Closing Remarks & Close of Conference

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• a complete one-stop resource for all regulatory and compliance material
• every document consolidated and completely up-to-date with all amendments incorporated
• a history of amendments giving every version of a document from its genesis right up to its current most up-to-date position
• effective use of cross referenced links.

Unequalled in its functions; BetterRegulation.com is comprehensive, easy to use, consolidated and up- to-date. The only regulatory reference resource you need.