Global Compliance Roundtable, London

September 26th, 2017



The (R)Evolution of Global and Local Regulation


Stephen Platt, Executive Chairman and CEO of RiskScreen will be speaking at the next Global Compliance Roundtable Event in London.


Compliance in investment management went from overlooked back office function to strategic growth driver and top C-Level concern in a matter of years. Compliance head counts are skyrocketing and CCO is the the new hot job on Wall Street. Yet, despite the potential black swan costs when mismanaged and the growing complexity of adhering to global/local regulatory and reporting requirements, there is no peer-to-peer platform for C-level executives to examine best practices and develop compliance thought leadership.


The Compliance Strategy Institute (CSI) series of global compliance roundtables focuses on CCO thought leadership that can be communicated, managed and implemented proactively. CSI deals with the themes of strategic priority for CEOs and CIOs, as they think on a high level about compliance and its business impact for the coming years (CIO and board relations, next generation reporting, alternatives as the next compliance frontier, outsourcing compliance functions, reputation and regulation, etc).




    • Richard Balarkasformer Head of Trading, Credit Suisse/CEO, Instinet
    • Paul FawsittCEO, MoneyMate
    • Jon HigginsPresident & CEO, Ascendant Compliance Management
    • Avi Nachmanyco-Founder, Strategic Insight, CSS Board Member
    • Todd RuppertFounder & CEO, Ruppert International
    • Doug SchwenkFounder & CEO, Advise Technologies


Simultaneously, the CSI addresses the more technical and operationally essential issues CCOs and their compliance departments are faced with to ensure the sustainability and growth of their organizations (the “multi”-maze, product innovation, MiFID II, cost-benefit compliance analysis, changes in IT, data and reporting, and more).


How can investment managers manage data and reporting to increase profitability and market share in a new era of regulation? In addition to providing proprietary research on regulatory trends, the CSI allows for off-the-record discussions between executives, investors, gatekeepers, researchers, practitioners and regulators, covering investment themes, regulatory issues, and best practices for the industry.


Set up as strategic events in financial centers around the world, all discussions are off the record and under Chatham House Rule.


Tuesday, September 26, 2017
8:15 AM – 7:30 PM


Four Seasons Hotel at Park Lane
Hamilton Pl, Park Lane
London W1
United Kingdom


Register for the event here