September 18, 2017 - September 19, 2017 Bayview Eden, 6 Queens Road, Melbourne, VIC 3004 Australia

Superannuation Fund Risk 2017 Forum that covers risks from operational, financial and investment.

18th September 2017 - Day 1

08:20 – Registration

Participants registration and refreshments.

08:55 – Welcome address

Chairman’s address to the gathering.


  • Kyle Ringrose, Principal, Athena IOC

09:00 – Session 1: Better practices for managing risks within your network of third party provider

  • The impetus for change
  • Common challenges
  • Third party assurance reporting – where to from here?
  • Operational due diligence vs. GS 007 reporting
  • Trends and predictions for the future


  • James Oliver, Partner, Financial Services Advisory, Deloitte Touche Tohmatsu

09:40 – Session 2: Tax risk – are we doing enough

Are we doing enough to address the risk of blowing out the fund’s single biggest expense?

  • Are appropriate benchmarks being set for investment managers?
  • Is investment performance measured appropriately?
  • Are common post-tax performance measurement methodologies showing the true tax cost to the fund?
  • How does overseas tax leakage occur, and how can it be managed?
  • What are some of the key strategies to reduce the risk of paying too much tax?
  • What are the risks of “sailing too close to the wind” in minimising the tax bill?


  • Raewyn Williams, Managing Director, Research, Parametric

10:20 – Tea break

Refreshments and Networking opportunity for participants.

10:50 – Session 3: Enterprise Risk Management – Practical strategies for operational and investment risks

  • Is an organisation wide risk register effective?
  • Mitigating the major Operational Risks
  • Identifying and managing beyond the “standard” Investment Risks
  • How a sound risk culture mitigates risk


  • Sean McGing, Director, McGing Advisory & Actuarial (MGAA)

11:30 – Session 4: COMPLIANCE: Navigating the obligations maze

Navigating the obligations maze with Lexisnexis content integrated into Protecht ERM

  1. Compliance Content Development Process
    • Understanding your legal landscape and processes
    • Working with our writers and legal experts
    • Writing the content – making sure you understand what to do and how to do it
  2. Understanding the Content
    • Ensuring the content is easy to understand, comprehensive, legally accurate and practical
    • Explaining to you what happens if you don’t fulfill your obligations
  3. What happens when the law changes
    • Types of alerts and when they are sent
    • Updating the content when laws changes
  4. Content Brought to life in Protecht.ERM
    • Obligation Registers
    • Alerts and Notifications
    • Reporting



  • David Bergmark, Executive Director, The Protecht Group
  • Siti Muhammad, Senior Content Manager, LexisNexis Regulatory Compliance

12:00 – Session 5: PANEL DISCUSSION: Liquidity Risk

  • What is the impact of asset allocation on liquidity risk?
  • How to set liquidity risk tolerances
  • What are the circumstances when liquidity risk can be beyond tolerance?
  • Who should measure liquidity risk? – the CIO or the CRO/CFO?
  • How to manage liquidity risk

Panel Chair:

  • Kyle Ringrose, Principal, Athena IOC

Panel Members:

  • Sean McGing, Director, McGing Advisory & Actuarial (MGAA)
  • James Oliver, Partner | Financial Services Advisory, DeloitteTouche Tohmatsu
  • Nick Wade, Director, Asia-Pacific Marketing, Northfield Information Services Asia Ltd.

12:40 – Lunch break

Lunch and Networking opportunity for participants.

13:40 – Session 6: Peeling the FX Onion – Risk management and mitigation strategies

  • Understanding FX in the context of overall portfolio risk
  • Prudential obligations of fiduciaries, and other market developments
  • Implementation choices and their implications
  • Best execution vs efficient execution
  • Risk identification and monitoring
  • Effective management approaches to best align interests and mitigate risks


  • Brett Elvish, Founder and Director, Financial View Point

14:10 – Session 7: PANEL DISCUSSION: Unit Pricing Errors

The single biggest operational risk for superannuation fund

  • Examples of historical errors and arbitrage and the costs incurred
  • Is this crucial risk paid sufficient attention by the Board of Trustees and Executives?
  • How does the Board and Executives get regular assurance that appropriate controls are operating effectively?
  • Is the risk management framework all it should be?
  • Is accountability for unit pricing errors allocated appropriately?

14:40 – Tea break

Refreshments and Networking opportunity for participants.

15:10 – Session 8: Responsible investing or ESG integration

  • Reputation – in a world where super fund holdings are public information, a fund’s reputation can be affected by holding shares in controversial companies.
  • Investment – general speaking responsible investment portfolios are more concentrated and carry higher fees, is this rewarded with better returns? There are a range of very though studies that have examined this.
  • Fiduciary duty risk – legal opinion is shifting here. Traditionally the view was that “non-financial” or ethical issues should not be considered when investing as they are not part of the duty to “maximise returns”. In the modern world where companies are being brought to account for their licence to operate through media scrutiny, NGO activism and social media, the legal view is changing full circle. Again there are a number of precedents and legal papers to quote from here.


  • Michael Walsh, Chief Executive Officer, UCA Funds Management



15:40 – Session 9: Recent advances in risk management

  • Best practices in market and credit risk modelling
  • Extending risk models beyond learning from the past
  • Harnessing big data and sentiment analysis to improve risk forecasts
  • Strategy risk: measuring the risk impact of uncertainty in manager skill
  • Liquidity-adjusted risk: incorporating liquidity into risk measurement


  •  Nick Wade, Director, Asia-Pacific Marketing, Northfield Information Services Asia Ltd.

16:10 – INTERACTIVE ROUNDTABLE DISCUSSION: Succession Risk – Is this given enough attention?

  • What is succession risk?
  • What could trigger succession risk?
  • How to manage succession risk
  • Consequences of failure to manage the risk


  • Kyle Ringrose, Principal, Athena IOC

16:50 – End of Day 1

  • Closing Remarks from the Chair
  • Networking Drinks

Interested in speaking?


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Attendee Information


Upcoming Events

  1. Investment Performance Training Courses

    April 16, 2018 - April 18, 2018
  2. Superannuation Funds Tax 2018 Forum

    May 15, 2018 @ 8:00 am - May 16, 2018 @ 5:00 pm
  3. Unit Pricing 2018 Forum

    May 21, 2018 @ 8:00 am - May 23, 2018 @ 5:00 pm
  4. Future Social Media Strategy 2018 Forum

    May 31, 2018 @ 8:00 am - June 1, 2018 @ 5:00 pm
  5. Data Governance 2018

    June 21, 2018 @ 8:00 am - June 22, 2018 @ 5:00 pm

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