Tue, May 30, 2017

DATE: Tuesday 30th May
LOCATION: The Mercer, 34 Threadneedle Street, London, EC2R 8AY,
TIME: 8am Registration, 8.30-10.00am breakfast discussion, 10am optional networking.


  1. Dominic Muller: Manager, FS Regulation Practice
  2. Laura Cox: Partner, FS Regulation Practice
  3. Andrew Strange: Director, FS Risk & Regulation Centre of Excellence


In a period of unparalleled uncertainty, Ocean will be hosting a discussion on the current UK and EU regulatory landscape for asset managers and what skill-sets firms should be looking for to navigate complicated terrain. Along with our guest speakers from PwC, we will have the opportunity to discuss implementation challenges around post-crisis regulation, as well as the opportunities and difficulties posed by ongoing revisions and a shift towards a pro-growth agenda. We will also consider the how asset managers can navigate these regulatory developments successfully while taking into account the current environment of wider disruption, including Brexit, trans-Atlantic political risk and rapid technological change.
The event will provide you with a better understanding of how the impacts of regulation, politics and technology all intersect as well as insights into the types of individuals that firms should be looking towards to create market opportunities from this disruption.


Dominic Muller & Andrew Strange - The regulatory landscape for asset managers.

  • Implementation challenges posed by post-crisis regulation:
    • complexity of MiFID II rules around product governance, inducements and other areas
    • scale of transaction reporting requirements with SFTR on the horizon
    • expanding disclosure obligations with PRIIPs
    • possible transformation of money market fund sector with regulatory restrictions around CNAV funds.
  • Evolving FCA asset management agenda
    • wider concerns around competition and cost
    • market study focus on governance and cost disclosure
    • liquidity management of open-ended funds
    • concerns around best execution and dealing commissions
  • Tweaks to existing regulation and unleashing pro-growth agenda:
    • impact of Capital Markets Union for asset managers
    • FCA’s focus on improving the accessibility of premium market listing
    • EMIR II, possible AIFMD II etc.

Laura Cox - Market & regulatory disruptors affecting asset management over the next few years.

  • Brexit:
    • overview of current political/negotiation state of play
    • opportunities and challenges posed by current and future equivalence regimes
    • broad scenarios for asset managers under “hard Brexit” scenario - what firms needs to consider to offer and manage funds and MiFID services cross-border
    • impact of continental elections
  • Trump administration:
    • opportunities and limitations of deregulatory agenda, i.e. scaling back enforcement and new rulemaking vs Dodd-Frank repeal
    • broader discussion of US governance and possibilities for political instability
  • Technological change:
    • opportunities around artificial intelligence
    • block- chain revolution
    • robo-advice, apps and mobile management & product distribution

Matt Cameron – Talent Management & Disruption

  • Talent Strategy:
  • Current challenges – the Asset management talent landscape
  • What is cognitive diversity?
  • Can it help with the growing talent shortage?