Changes in client demographics and heightened scrutiny from regulators are pushing up
expectations around technology, at a time where momentous change in reporting and planning is ever-looming as the country moves closer to Brexit.

Essentially, wealth management firms need to embrace digital if they want to remain relevant and ease their regulatory burden. Technology is now an efficiency driver from the back-office through to the front.

However, aligning a firm’s digital strategy with operational considerations, client service, and regulatory compliance can be complex. Challenges include, for example, consistency in multi-channel communications and dealing with high-risk clients.

This year’s Compliance & Operations Summit will bring together luminaries from across the industry to discuss key developments and offer best-practice insights on these pressing subjects.


8:00 am Registration and refreshments 8:55 am Summit Welcome 9:00 am Keynote 9:20 am  Panel 1: Compliance challenges for Wealth Management. Impact and implications of the Senior Managers Regime. Recent scandals such as the Panama Papers, the Bahamas leaks and Malaysian dirty money have thrown wealth management practices into the regulatory spotlight. In today’s digital age of transparency, firms need to be more proactive than reactive when managing risks if they want to keep their reputation intact, both in the eyes of regulators and clients. Meanwhile, the compliance function must have a symbiotic relationship with the rest of the business. This panel will cover challenges in the current regulatory landscape and how best to navigate them. Topics will include:
  • Impact of Brexit
  • Record keeping; document management and data quality
  • Cost of compliance
  • Value for money
  • Monitoring front office behaviours
  • Onboarding
  • KYC
  • Market abuse – trading & market manipulation  
10:10 am Panel 2: Digitising the whole client lifecycle According to recent research, a significant 85 per cent of wealth management professionals said their firm will increase technology spend on innovation in the next three years. These increased budgets are expected to benefit the entire client lifecycle. However, a sweeping shift to digital brings its own set of challenges, such as fragmented internal systems, as well as difficulties in the onboarding process and in effective portfolio risk management. How are wealth managers dealing with these obstacles and what are the most important elements of the client value proposition model? 11:00 am Networking Brunch 11:45 am  Panel 3:  Technology and impact: where to spend? Allocation of vital economic resources can be a taxing decision for wealth managers, with the tripartite pressures of rising cost-income ratios, diminished investment returns and ensuring systems are up to scratch in the eyes of the regulator. Yet, development and innovation should not necessarily be stalled, especially when client satisfaction and loyalty may be on the line as wealth begins to pass hands to the coveted ‘next gen’. This panel will look at whether spend should best be allocated to the back office for slick functionality or to the front, for clients to benefit first-hand from technological enhancements. Aspects to be debated include:
  • Reporting and Communications
  • Social media
  • Trading
  • Portfolio management
  • Customer portfolio
  • Risk management
  • CRM
  • AML
  • Apps
12:35 pm Panel 4: The industry speaks: Q&A.  To what extent will technology be a driver for the successful wealth manager for the future? Firms are increasingly looking to technology to cut costs and boost profitability. Digitalisation is no longer just about remaining relevant to the younger high net worth community, but also a means of overcoming regulatory and operational hurdles. Digital transformation programmes touch every part of a wealth management business, from client onboarding to portfolio management, reporting and communications, customer relationship management and cybersecurity. This panel will explore how key digitally driven areas are shaping an industry that is traditionally high-touch in nature. 1:20 pm - 2:00 pm Summit close and Networking  


Date and Time

Date: Tuesday 29th November - 2016
Time: 8:00 am – 2:00 pm


ETC Venue – Monument

Address: 8 Eastcheap, London EC3M 1AE

About our Sponsors



Bjorn Blanchard


HRComply Limited

Director b:squared training ltd Until recently Bjorn was Head of Training and Competence at Credit Suisse (UK) Limited, the UK-based private bank. Bjorn implemented and managed the firm’s T&C scheme. […]

Bruce Weatherill

Chief Executive

Weatherill Consulting

Bruce is a chartered accountant with over 37 years financial services experience, previously a partner in PwC, latterly as Global leader of their Wealth Management practice and the key driver […]

Curt Hopkins

Chief Operating Officer


Curt Hopkins is the Chief Operating Officer of Novastone, a fintech firm with a secure messaging solution for high value clients in wealth management, banking and business. In addition, he […]

David Newman

Co-founder, Chief Operating Officer


David Newman is the co-founder and chief operating officer of Delio. Delio helps wealth managers and private banks differentiate themselves and better engage with today’s entrepreneurial clients by building direct […]

Dominic Greenwood


Expersoft Systems AG

Dr. Greenwood is COO Group of Expersoft Systems and its sister company, Whitestein Technologies. He is a technologist and business executive with 20 years of experience transforming business operations with […]

Eric Moe

Partner, Chief Operating Officer

Whitefoord LLP

Eric Moe is a partner and chief operating officer at Whitefoord, a London-based discretionary wealth management firm serving private clients. His additional duties include oversight of the operational risk program […]

Hermann Schwalm

Independent Business Consultant

He lately completed a project for a Middle Eastern Family Office implementing a fully integrated CRM- and PM-platform entailing process-based Client-Onboarding, Asset Allocation and Portfolio-Management entailing automated Order Management, continuous […]

Ian Cornwall

Director of Regulation

Wealth Management Association

Ian has almost 30 years’ experience as a risk and compliance professional.   He started his regulatory career in 1986 with the Surveillance Division of the London Stock Exchange which evolved […]

Ian Woodhouse

Board Advisor and Partner


Ian is an experienced board and executive advisor/partner to wealth and asset managers; family offices, software firms and fin-techs helping to achieve and accelerate their path to be future ready […]

Jonathan Boakes

Managing Director


Jonathan Boakes is a 10 year veteran of mobile, having helped companies such as the BBC and Time inc., formulate their mobile branding strategies. Jonathan later headed up mobile orientated […]

Jonathan Simpkins

Senior Manager, Asset and Wealth Management


Jonathan Simpkins is a senior manager with the Asset and Wealth Management practice at Accenture, responsible for leading the consulting proposition in wealth management. He is an experienced financial services […]

Kitty Parry

Founder & CEO

Social Media Compliance

Kitty is the Founder and CEO of the Social Media Compliance (SMC), a FinTech company providing RegTech solutions. SMC’s mission is to draw together industry, regulators and consumers in collaborative […]

Nigel Sirett

Account Executive


Nigel Sirett is responsible for growing Appway’s business in the UK and supporting UK clients on their digital transformation journey. He has 30 years’ experience in financial services and technology, […]

Pablo Diaz de Sandi

Global Client Lifecycle Management Programme Manager

HSBC Private Bank

Pablo Diaz de Sandi has over 20 years of experience in the Financial Services industry. He began his career in Mexico City where — after graduating with a major in […]

Roopalee Dave

Partner & UK Wealth Management Lead


Roopalee is a Partner and UK Wealth Management lead in EY’s Financial Services team focusing on wealth management and private banking clients. She leads the Wealth Management sub- sector in […]

Rosalyn Breedy

Managing Director

Breedy Henderson

Rosalyn Breedy, is a Corporate, Funds and Financial Services lawyer and Managing Director of Breedy Henderson. She has 30 years of experience working in private practice, investment banking and at […]

Simon Elvidge

Managing Director

3 Lines of Defence Consulting Ltd

Simon Elvidge has over 25 years of compliance, financial crime prevention (FCP) and broader control function experience (Risk / IAD) as well at Board Director level.  This expertise has been […]

Theo Paraskevopoulos

Founder and CTO


Theo Paraskevopoulos is a technologist and entrepreneur, and has worked at the frontline of digital transformation for almost 20 years. As the second wave of this process gets underway, scarcity gives way […]

Verona Smith

Head of Platform

Seven Investment Management

Verona’s track record spans more than two decades, three continents, major organisations such as Legal & General, American Express and BT Financial, and the complexities of wraps, platforms, as well […]

Victor Van Hoorn

Account Director

Hume Brophy

Based in Hume Brophy’s Brussels office, Victor is the European Regulatory expert for the agency’s international financial services team. He advises clients on EU developments, their engagement with policymakers and […]

Wendy Spires

Head of Research

ClearView Financial Media

Wendy has been a wealth management journalist, researcher and consultant for a decade, covering a huge range of international markets and sub-sectors over that time. Known as a technology and […]