MiFID II Conference 2023

A “recovering lawyer”, Stuart has, among other things, line 1 responsibility for the teams integrating M&G strategy into precontractual materials such as prospectuses and KIDs, and for the team developing M&G’s range of ESG products. Prior to moving to the first line at M&G, he worked in various legal roles at Allen & Overy LLP, Royal London, Threadneedle, Morgan Stanley, State Street, Franklin Templeton and Invesco.

David is the Wealth and Asset Management sector lead for KPMG’s EMA Financial Services Regulatory Insight Centre. He is a chartered accountant and has over 10 years’ working with the asset management industry. Before joining KPMG in 2022, David worked in asset management supervision at the FCA for six years, and was seconded to the Bank of England in 2021.

Chris is a Director in KPMG’s Risk and Regulatory practice focusing on the Wealth and Asset Management sector. Chris has over 15 years’ experience supporting clients with the implementation of regulatory change and ensuring ongoing regulatory compliance. He has supported a diverse range of traditional and alternative Asset and Wealth Managers as well as Third Party Administrators and Asset Owners. He has a strong working knowledge of the FCA, having been seconded on both their supervisory and policy teams.

Rachel is a Senior Product Manager for SAM UK, having gathered 15 years experience across Financial Services, primarily in Investment Management. Rachel is passionate about the client experience, and specialises in putting in place product governance frameworks and guiding on best practice. She joined her current role with SAM UK in 2022, responsible for product management and governance. Prior to that, Rachel was responsible for oversight of Products and Services at RBC Brewin Dolphin, and was 10 years at Artemis, where she held various roles within Product and Distribution.

Clíodhna Duggan is Head of Fund Governance for Link Fund Solutions Limited (“LFSL”). She has over 20 years’ experience in Fund Governance and Product in both the UK and Europe. Her team is responsible for LFSL’s Distribution Oversight, Product Management and Fund Lifecycle (including Value Assessment) programmes. Prior to joining LFSL in 2022, she worked for Janus Henderson Investors Europe SA (Luxembourg), where she was Fund Board Director and Conducting Officer for Operations and Distribution.

Anna O’Donoghue is Global Head of Product Development and Governance. She is responsible for the management of Schroders’ product ranges globally and safeguarding the best interests of Schroders’ investors throughout the product lifecycle. Anna is also a Director on the Schroders Unit Trusts Ltd (SUTL) Board in the UK. She joined Schroders in March 2019 and is based in London. Prior to joining Schroders Anna was at Architas Limited, where she spent ten years working in senior roles, including Head of Research and Investment Chief Operating Officer, and played an integral role in many of Architas’ investment projects. In her most recent role Anna oversaw the day-to-day operations of the investment team, with responsibility for investment and operational due diligence, product governance, and regulatory change initiatives. Previously, she held Senior Investment Analyst positions at BMO Global Asset Management and FundQuest – the multi-manager of BNP Paribas Investment Providers. Anna holds an MBA (with distinction) from Warwick University, a BA Broadcast Journalism from Leeds University. She also holds the IMC and has passed Level I of the CFA.

Eoghan works mostly with clients in the capital markets and banking sectors. Eoghan supports clients with best execution, CASS and the reporting obligations that come with trading activity, including transaction reporting and EMIR reporting. He joined Bovill from a ‘Big Four’ firm, where he worked with the Regulatory and Financial Services Assurance teams.

Daniel is a senior knowledge lawyer in our Financial Services Regulatory Group. He is responsible for the firm's financial services know-how and training requirements, which include assisting colleagues with ad hoc queries, maintaining core know-how, horizon scanning, producing thought leadership content, preparing technical briefings for clients, delivering training to clients and colleagues, engaging with trade bodies and policymakers, speaking at client events such as seminars and webinars, and designing knowledge initiatives to support regulatory change projects. He has specialised in financial services law and regulation since 2008 and has significant experience advising businesses in the investment, banking, insurance and payments sectors on UK and EU regulatory requirements, as well as advising non-financial institutions on how regulation may impact their activities. In addition to spending time on secondment to a global financial institution, Daniel has worked at the regulator, where he gained practical insights into the implementation of policy proposals. Daniel is a core member of the firm's digital assets and Environmental, Social and Governance (ESG) groups and leads the Investment Association's "Introduction to ESG for Investment Management Firms" and "Introduction to the FCA's TCFD-aligned Disclosure Regime" training programmes.

Tom is the Platform Management Lead for the Coutts Investment Centre of Expertise within NatWest Group and the Product Owner for its ISA, Digital Pension, Securities Dealing and FX Services. Tom has held this position for the last 6 years, prior to which he held a number of roles in Risk, Governance and Compliance both at Coutts and Citigroup. Tom is a lawyer by training, having passed the Bar in 2010 before changing direction and beginning his career within Wealth and Asset Management. During his career with Coutts, Tom has played a significant role in implementing key legislative and regulatory changes such as Ring-Fencing, EMIR, Brexit and MiFID II and has the day-to-day responsibility for ensuring the Coutts and NatWest Investment Platforms continue to comply with these regulations.

Ghislain Perisse is working for Fidelity International, as Head of Insurance Solutions, Europe, based in Paris. Ghislain has worked at Credit Lyonnais, Societe Generale, Merrill Lynch and Morgan Stanley in derivatives and quant research. Ghislain then worked at AXA Investment Managers as Head of Insurance Solutions Business Development and most recently at Schroders as Head of Insurance Strategy In parallel, within the European Working group and now FinDatEx, Ghislain initiated the different Regulatory templates (TPT, EMT, EPT, EFT and EET)

Sanjeev Rai leads on the Costs and Charge calculation, PRIIPs and MIFID II regulatory reporting at Barings. Sanjeev has a dedicated focus on transaction cost calculation and sits as a Technical Expert Consultant at the PLSA responsible for the CTI framework. Prior to joining Barings, Sanjeev was responsible for the same at Neuberger Berman. Sanjeev has a 15-year track record working within the asset management industry working for firms such a Fund Partners, Columbia Threadneedle, Fidelity, Legal and General and Schroders and has solid experience of fund accounting and operations.

Jeffrey leads the Technical Policy team, helping firms where new regulations are being introduced or proposed. He has spent 35 years in the funds industry, including 15 years at M&G, where he was a director and member of the Executive Committee. He held a number of operational roles including setting up M&G’s call centre, launching closed and open ended funds, and public affairs spokesman with responsibility for non-compliance relationships with regulators, HMRC and Government. Having read History at Cambridge, Jeffrey qualified as a Chartered Accountant with Coopers & Lybrand (now PwC). He then spent seven years in banking including posts as chief accountant of two merchant banks (HongKongBank and Samuel Montagu). He is currently also non executive chair of the Chelmsford Diocesan Board of Finance.