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7Sep
September 6, 2017 - September 7, 2017 Bayview Eden, 6 Queens Road, Melbourne, VIC 3004 Australia

The continuing Impact on the Back Office and how the Back Office can prepare to manage risk and maintain service levels in an increasingly complex environment

7th September 2017 - Day 2

08:20 – Registration

Participants registration and refreshments.

08:55 – Welcome address

Chairman’s address to the gathering.

09:00 – Session 1: The role of the back office in the investment committee

  • The value add from back Office participation
  • The impact on effective risk management
  • Keeping the Front Office honest
  • Presenting the Committee with a different perspective

Speaker:

  • Lournarda David, Head of Investment Operations, Sunsuper

09:40 – Session 2: Custodian due diligence

  • The need for face to face meetings
  • How to perform interim due diligence without face to face meetings
  • The ideal frequency of monitoring
  • How to strike the right balance between effort and reward

10:20 – Tea break

Refreshments and Networking opportunity for participants.

10:50 – Session 3: The back office role in investment manager appointment and review

  • To what extent should this be in the hands of the Front Office rather than Back Office?
  • Does the Back Office view things from a different angle?
  • Why the costs are low relative to the risks?
  • Can the function be adequately performed through desk top reviews?

Speaker:

  • Gordon McKellar, Chief Operating Officer, Future Fund

11:30 – Session 4: Key back office controls that may not always be fully appreciated

  • Implications of failure to implement and monitor key controls
  • Unit registry reconciliations
  • Tax provisions and fee accruals in unit pricing
  • Custodian oversight

Speaker:

  • Philip Hope, Partner, Deloitte

13:00 – Session 5: Superannuation fraud

  • Examples of fraud attacks on members
  • Fraud detection techniques and remedies
  • The warning signs to look out for
  • How can the Back Office help mitigate the risk of fraud

Speaker:

  • Justin Smith, Country head of financial crime compliance, Standard Chartered Bank

12:50 – Lunch break

Lunch and Networking opportunity for participants.

13:50 – Session 6: Big data

  • What do we mean by big data for a superannuation fund?
  • To what extent can this be managed by the custodian?
  • How to include both investment and member data on a common database

Speaker:

  • Daniel Cheever, Head of Superannuation, State Street

14:30 – Session 7: Investment mandate compliance monitoring

  • Is responsibility best placed with Investment operations or the Risk and Compliance  team?
  • How frequently should mandate compliance be checked?
  • How important is it to validate the custodian’s systems for accuracy and completeness?
  • What are the strengths and weaknesses of custodian mandate compliance systems?
  • Is mandate compliance best conducted in house or outsourced?
  • How can breaches go undetected?
  • How does the custodian protect asset owners from cyber attack

Speaker:

  • NAB – Speaker to be announced

15:10 – Tea break

Refreshments and Networking opportunity for participants.

15:40 – Session 8: The independence and extent of investment performance measurement

  • The need for performance measurement independent of the investment managers
  • Should performance reporting be tailored for the investment managers or the Board of Trustees?
  • How to manage potential conflict between the back Office and investment managers
  • How well equipped is the custodian to provide these services?

Speaker:

  • Stuart Hoy, Product Manager, JP Morgan

16:10 – Session 9: INTERACTIVE ROUND TABLE DISCUSSION - Striking the right balance

Striking the right balance between independent oversight by the back office and speed to market

16:50 – End of day two

Closing remarks from the Chair.

Interested in speaking?

 

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