This annual Forum is focussed exclusively on the Investment Operations function of both large and small organisations. It provides an ideal introduction for delegates who are relatively new to Investment Operations as well as providing the opportunity for experienced players to hear from and network with their peers. The speakers represent industry experts with decades of hands-on experience who will share their experiences and insights with the delegates.
Topics at this year’s Forum include investment valuations that have been the subject of much media speculation, the critical role of the custodian and the impact of emerging technology. As superannuation fund mergers continue to emerge, we examine some of the many issues involving the Investment Operations team in the process. Numerous other technical and operational issues will be discussed in panel sessions and many speakers will be available for discussion during the
networking sessions throughout the event.
GOLD SPONSOR
SUPPORTING ORGANISATION
PANEL SPONSOR8:20 Delegate Registration & Coffee
8:55 Opening remarks from Chair
Opening Keynote Address:
DAVID TRAVERS
Chief Executive Officer, Australian Custodial Services Association ( ACSA)
• How do all parties work together to help the superannuation funds meet their obligations?
• The ACSA guidelines on meeting CPS 230 obligations
MODERATOR:
DAVID TRAVERS
Chief Executive Officer, Australian Custodial Services Association ( ACSA)
PANEL MEMBER:
KAREN GILBERT
Managing Director, Head of Risk Management, State Street Australia
Other panel members TBA
• The Federal Court ruling in Burton v. Commissioner of Taxation has had a huge impact for the industry and the
calculation foreign income tax offsets (FITO)
• What are the implications for asset owners regarding how FITO calculated, whether it can be passed, and how it can
be disclosed to beneficiaries.
11:10 MORNING COFFEE & NETWORKING
• Impact of technology on proxy voting and shareholder engagement.
• Key regulatory changes affecting proxy voting practices.
• Role of proxy voting in shaping corporate governance.
• Emerging trends and challenges in proxy voting, including ESG and AI.
MODERATOR:
ROBERT POULTER
Head of Country Operations, Australia, Northern Trust
PANEL MEMBER:
DEAN LITTLE
Co-Founder at Proxymity
• Overview of T+1 settlement in the US and key changes.
• Effects of T+1 on Australian businesses and markets.
• Necessary changes for Australian firms to adapt.
• Long-term implications and opportunities for Australia.
MODERATOR:
MARK WOOTON
Client Line Co-Head, Financial
Intermediaries and Corporates, Asia Pacific, BNP Paribas
PANEL MEMBER:
STEVE DREW
Manager, Brokerage Ops - Northern Trust
CHRIS MOORE
Custody product manager Australia and New Zealand, Citi Securities
12.50 NETWORKING LUNCH
• Innovation and Technology
• Common Operational Challenges
• Reshaping the Back/Middle Office
CIAN O'DRISCOLL
Country Manager, Financial Risk Solutions (FRS) Ltd
• Overview of digital assets and their growing significance.
• Key advantages of tokenization, including liquidity and
fractional ownership.
• Current regulatory environment and compliance
considerations.
• Real-world applications and success stories of digital
assets and tokenization.
MODERATOR:
JUSTIN CHRISTOPHER
Managing Director – Head of Asia, Calastone
PANEL MEMBERS:
DAVID RAPER
COO, Automic Group
MICHAEL BOARD
Chief Compliance Officer, DCA - Global Derivatives Management
14:40 AFTERNOON TEA
• Can the operations team keep up with the new product and strategies
• The impact of complex securities and transactions on the investment operating model
• Advantages of implementing a comprehensive investment data management platform.
• Key challenges in integrating the platform with existing systems.
• Importance of maintaining high data quality and consistency.
• Examples of successful implementations and their outcomes
SCOTT TAYLOR
Chief Operating Officer, AlphaCert
• The importance of a strong data foundation
• Harnessing advanced technologies
• Creating a data-driven culture
• The role of data governance
PANEL MEMBER:
AMY HITCHCOCK
Head of Investment Operations at NZ Super Fund
17:00 CLOSING REMARKS FROM THE CHAIR
17:00- 18:00 NETWORKING DRINKS (1 HOUR)
8:20 DELEGATE REGISTRATION & COFFEE
8:55 OPENING REMARKS FROM CHAIR
• Essential elements of effective operational due diligence.
• Identifying and evaluating operational risks.
• Proven strategies and best practices for thorough due diligence.
• Real-world examples highlighting successful operational due diligence efforts.
MANAGING PRIORITIES: SO MUCH TO DO, SO LITTLE TIME TO DO IT
PANEL MEMBERS:
BRIAN O MARNAIN
Head of Investment Operations at Bennelong Funds Management
MICHAEL NIGHTINGALE
Head of Investment Operations, Brighter Super
ALEX WISE
Senior Advisor, Global Advisory Board Member, Castle Hall
DAVID JOHNSON
Head of Global Business Transformation, IFM Investors
This session, presented by a financial services specialist AI firm, examines case studies of financial services entities deploying AI to answer the key questions:
• What is the 'prize' AI can deliver in an operational and member/investor servicing environment?
• What challenges have clients experienced in sponsoring and deploying AI?
• What is the roadmap for 'getting your feet wet' in your organisation's AI journey?
RAEWYN WILLIAMS
Principal, Jefferson & Shea Impact Strategists
11:10 MORNING COFFEE & NETWORKING
• Emerging technologies shaping the future of asset servicing.
• Evolving regulatory landscape and its impact on asset servicing.
• Changing client demands and how asset servicing is adapting.
• New innovations driving efficiency and value in asset servicing.
CAROLINE HIGGINS
Head of Global Fund Services, APAC, Northern Trust
• Identifying key cost drivers in investment operations.
• Implementing strategies to improve operational efficiency.
• Leveraging technology for cost-effective operations.
• Measuring the impact of cost optimization on profitability
DAVID MILLAR
Partner Financial Services, Ernst & Young
AMY SPENCER
Director, Technology Consulting, Ernst and Young
12.50 NETWORKING LUNCH
• Understanding operational alpha and its significance in investment management.
• Identifying key drivers of operational excellence that contribute to alpha generation.
• Implementing best practices to enhance operational efficiency and effectiveness.
• Metrics and methods for measuring the impact of operational excellence on overall investment performance.
• The growing importance of sustainability in investment operations
• Incorporating ESG factors into decision-making
• Aligning operations with the firm's sustainability goals
14:40 AFTERNOON TEA
• Developing effective strategies to attract top talent to investment operations.
• Implementing programs to retain skilled employees and reduce turnover.
• Providing opportunities for skills development and career advancement.
• Fostering a positive work culture and high levels of employee engagement.
MODERATOR:
DARRAGH CLEARY
Manager at Kaizen Recruitment
PANEL MEMBER:
LINDA WU
Director - Investment Solutions & Operations, Keyview Financial Group
PETER CALLANAN
Director - Investor Operations, Centuria Bass Credit
• The benefits of collaborating with ecosystem partners, such as technology providers, industry associations, and other firms, to drive innovation, share best practices, and enhance operational capabilities.
Depending on the program, could be dropped. We have had this the last couple of Inv Ops Challenges.
• Importance of thorough planning and preparation for custodial transitions.
• Strategies for managing risks during the transition process.
• Effective communication with all stakeholders throughout the transition.
• Conducting a thorough evaluation post-transition to identify lessons learned and areas for improvement.
MODERATOR:
MARK MACLEOD
General Manager Australia, AlphaCert
PANEL MEMBER
MICHAEL NIGHTINGALE
Head of Investment Operations, Brighter Super
SUNDAR NARAYANASAMY
Head of Change & Transformation (Australia & New Zealand), BNP Paribas
DAVID MILLAR
Partner Financial Services, Ernst & Young
CLOSING REMARKS FROM THE CHAIR
