Name: Kroll Alternatives and Asset Management Compliance and Regulatory Conference
Start: 2024-05-15

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We are delighted to have had the opportunity to bring together industry experts, thought leaders, and professionals for a day of insightful discussions and networking.

Our speakers shared their expertise on various topics, including the FCA's Supervisory Priorities for the Alternatives Sector and the Global Regulatory Outlook for 2024. Engaging panel discussions covered a wide range of subjects, from financial crime trends to technological innovations in compliance.

Speakers: Matteo Basso (Kroll), Nike Trost (FCA), Howard Cornwell (FCA)

Updates from the interim ‘Dear CEO’ portfolio letter issued to Asset Managers and alternative firms
Will there be more active engagement from the regulator?
Is the UK aligning or deviating from Europe?

Speakers: Nick Inman (Kroll), Colleen Corwell (Kroll), Hannah Rossiter (Kroll), Aaron Weiss (Kroll)

Regulatory developments from the main jurisdictions
Commonalities and divergent approaches

Speakers: Maria Evstropova (Kroll), Tom Hollobone (Kroll), Ian Lucas (Kroll)

Failure to prevent fraud and how this impacts senior managers
Companies House reform and the FCA business plan – changing how due diligence is conducted
Growing concern of green crimes, should this be included across due diligence and risk assessments

Speakers: Richard Taylor (Kroll), Trevor Horwitz (Kroll), Thomas Bailey (Kroll), James Tedman (Blueflame.ai)

New ways of assessing and utilizing the potential deluge of information
Compliance strategies to move with the times
Defending against targeted cyber attacks

Speakers: Nick Smith (AIMA), Andrea Gonzaga (Simmons & Simmons), Andrew Poole (Kroll), Ryan McNelley (Kroll)

Private markets move into the public sphere
Ownership of sports, music, supermarkets and targeting retail money
Is there a bubble?
How is the industry adjusting, if at all?

Speakers: Clare McMullen (Linklaters), Martyn Hopper (Linklaters), Ken Joseph (Kroll), Lizzie Wills (GK Strategy)

With increasing scrutiny of investigations, what do regulators expect?
How can organizations balance the legal and reputational implications?

Speakers: Chris Davison (Permira), Giles Derry (Kroll), Ben Cawley-Harrison (Kroll), Paul Cooper (Kroll)

How to effectively bring your fund to its natural conclusion
Options beyond a continuation fund
What are the tax implications amongst changing political winds?
How to maximize returns with the right structural approach

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Kroll Alternatives and Asset Management Compliance and Regulatory Conference

Session Details

Registration and Breakfast

Welcome and introduction by Monique Melis, Managing Director and Global Head of Financial Services Compliance and Regulation, Kroll

Keynote Session - In Conversation with the FCA: Policy and Supervisory Priorities for the UK Regulator

Panel 1 - The Global Regulatory Outlook: Around the World in 45 minutes

Panel 2A - Piercing the Veil: The Growing Scope of Financial Crime and Investment Due Diligence

Panel 2B - The Rise of the Machines: Technological Innovation and Challenges for Compliance Officers

Coffee Break

Panel 3A - Private Markets: Out of the Shadows and into the Regulatory Firing Line?

Panel 3B - Unwanted Attention: Covering the Angles in a Regulatory Investigation

Panel 4 - Calm in the Face of Uncertainty: Challenges and Opportunities for the Alternatives Sector in 2024

Networking and Lunch

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