May 21, 2018 - May 23, 2018 Grace Hotel Sydney, 77 York street, Sydney, NSW Australia

Best Practices to Achieve Unit Pricing Operational Process Optimistation, Improving Efficiency & Reducing Risks

21st May 2018 - Day 1

Participants registration and refreshments.

Chairman’s address to the gathering.


  • Kyle Ringrose, Principal Athena IOC Pty Ltd, Former Head of Investment Operations, Qsuper
  • Why the aim of the regulator is to be pro-active rather than reactive
  • The analogy with a speed camera – the warning signs to look out for to avoid a “speeding fine” from the regulator
  • The events that led to others have “learning the hard way” and how to avoid this in your operation
  • The regulator’s views on where the risks lie for unitised vehicles
  • Where the focus on regulator reviews has been and where it is moving towards
  • What triggers a regulatory review


  • Craig Roodt, Head of Investment Risk, APRA (Invited)
  • Why the governance culture and unit pricing risk management framework must be driven from the top down
  • How to ensure the Board sets the example by instilling unit pricing awareness to its members
  • Examples of good and not so good governance of unit pricing at Board level
  • What the Board needs and not need to know
  • Examples of insightful reporting to the Board


  • Sean McGing, Director, McGing Advisory & Actuarial
  • Setting good and bad KPIs, case study of example KPIs
  • Performance reviews, what to include and what not to discuss
  • What research tells us the most successful managers are doing


  • Kyle Ringrose, Principal Athena IOC Pty Ltd, Former Head of Investment Operations, Qsuper

Refreshments and Networking opportunity for participants.

  • The implications for daily unit pricing when assets are valued less frequently
  • Alternative methods for including valuations of unlisted assets in daily unit prices
  • The case for striking prices with the same frequency as asset valuations become available
  • What the Guide to Good Practice tells us


  • Tom Twinn, Manager of Investment Operations and Compliance, Sunsuper
  • The panel discusses real life examples of unit pricing errors they have seen or have been told about (names of guilty parties to remain confidential!)
  • How to detect a unit pricing error before it happens
  • Examples of errors that might have been predicted
  • The role of the Board and Executives in preventing unit pricing errors

Lunch and Networking opportunity for participants.

  • Why every organisation must have an error rectification plan
  • What a plan might look like
  • “Must haves” for an error rectification plan
  • Communication with the Board and the regulator, why, when and how


  • KPMG(invited)
  • How the industry is moving towards real time unit pricing and transaction processing
  • The dangers for organisations locked into legacy registry systems
  • The tax benefits to members of the new regime


  • Séamus Ó Concheanainn, Managing Director, CXi Software

Refreshments and Networking opportunity for participants.

  • The impact of tax and fees
  • The impact of assumptions about beginning or end of day cash flows on performance
  • The impact on tax provisions as members’ transition to pensions
  • What is the cost and benefit to members of conservative tax provisioning
  • The impact of performance fees on unit prices


  • Ricky Notorangelo, Head of Policy Services, Asset Servicing, NAB
  • Banana skins & lessons learned from 20 years serving unit pricing software
  • To the optimum operating model
  • 20 years from now in unit pricing


  • Matthew Baldwin, Managing Director Asia, Financial Risk, Solutions (FRS) Ltd
  • Frank Carr, CMO, Financial Risk Solutions (FRS) Ltd

The roles and responsibilities of the tax, investment operations and compliance teams in unit pricing.

  • Where responsibility ultimately lies for getting the unit price right
  • Where expertise from other areas can enhance unit pricing governance
  • Tax provisioning – to what extent is this the responsibility of the Tax team or the Unit Pricing team?
  • The role of the Risk and Compliance team in ensuring appropriate checks and controls in unit pricing
  • The skill sets required within the unit pricing team and why external input can sometimes be essential
  • How important is an external review in proving assurance to the Risk and Compliance function and Board of Trustees

Panel Chair:

  • Kyle Ringrose, Principal Athena IOC Pty Ltd

Panel Members to be announced.

  • Closing remarks from the Chair and vote of thanks by the Chairman
  • 1 Hour Networking Drinks

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