Cisi April June2011 Cp Dseminars

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3PPS CPD training 26th May

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Cisi April June2011 Cp Dseminars

  1. 1. R an DR Inc d A lud Ga nn in p- ua g fil l C le P ve D nt sCPD SEMINARS Programme April - June 2011 Professional development for the financial services industryBook online via cisi.org/onlinebooking
  2. 2. The CISI CPD Seminars ProgrammeContinuing Professional Development (CPD) is a key aspect of the Institute’s strategy for enabling members tomaintain their professional competence. To achieve this, we have constructed a programme of CPD seminarsthat is one of the widest ranging in the financial services industry.The CISI and the FSA’s Retail Distribution Review (RDR)Under the RDR, the FSA is introducing compulsory CPD for all retail investment advisers to assist in achievingongoing competence. The FSA requires a minimum of 35 hours’ CPD to be completed, and recorded, onan annual basis. The FSA has confirmed that existing advisers who have passed a recognised transitionalqualification will also use structured CPD to top up any gaps identified against the new exam standards. TheInstitute has identified the gaps for all their transitional qualifications, including the Private Client InvestmentAdvice & Management (PCIAM) qualification, and the full details can be found on cisi.org/rdrThe FSA has stated that a minimum of 21 hours of the CPD must be structured learning. Attendance atseminars, such as the ones in this brochure, are activities accepted as part of structured learning. EachInstitute seminar normally contributes one hour of CPD.To assist members with the recording of CPD activities as proposed under the RDR, CISI members whoattend any Institute CPD seminars have CPD hours automatically added to their personalised CISI CPD log,which also recommends 35 hours on an annual basis. For further details, see page 19 of this programme orcontact cpdscheme@cisi.orgRDR Core TopicsThe seminars here cover core knowledge areas as outlined in the RDR. For members affected by itsimplementation, we have identified the following seminars which relate to RDR core topic areas (Investmentprinciples and risk, Taxation, Regulation and Ethics). Please see also cisi.org/rdr for further information. Title and RDR Annual CPD - Core topic page Investment principles and risk Founders’ series: Luke Johnson of Risk Capital Partners LLP 4 Another BRIC in the wall? The recent revival of the Russian economy and its future prospects 5 Confidence Accounting – fixing a root problem in financial systems 6 Impact investments: an emerging asset class? 6 Trends and developments in the European wheat market 7 State benefits and investment planning 7 3rd party pensions sponsorship – the future of pensions provision? 8 An introduction to SIPPs 9 Selecting the right ETF 9 Taxation An outline of the taxation of financial products – tax efficiencies and tax risks 8 The Foreign Account Tax Compliance Act (FATCA) – your obligations under the new US tax regime 12 Regulation Reforming remuneration practices in financial services 10 The MiFID Review – areas of significant impact and its influence on other legislation 10 The new face of financial services regulation: what will it mean in practice? 12 Ethics Ethics, culture and sustainability – a practical viewpoint 11
  3. 3. ContentsCorporate Finance• Founders’ series: Luke Johnson of Risk Capital Partners LLP 4 Investment Management• Another BRIC in the wall? The recent revival of the Russian economy and its future prospects 5• Confidence Accounting – fixing a root problem in financial systems 6• Impact investments: an emerging asset class? 6• Trends and developments in the European wheat market 7Wealth Management• State benefits and investment planning 7• An outline of the taxation of financial products - tax efficiencies and tax risks 8• 3rd party pensions sponsorship – the future of pensions provision? 8• As introduction to SIPPs 9• Selecting the right ETF 9Compliance, Ethics and Corporate Governance• Reforming remuneration practices in financial services – an overview of the Remuneration Code with some practical points on its implementation 10• The MiFID Review – areas of significant impact and its influence on other legislation 10• Ethics, culture and sustainability – a practical viewpoint 11• Ethics workshop: integrity at work 11• The new face of financial services regulation: what will it mean in practice? 12• The Foreign Account Tax Compliance Act (FATCA) – your obligations under the new US tax regime 12Operations• Securities lending in the financial market place – how does it benefit clients? 13• The middle office and its role in operational risk 13• Clearing services for global markets 13Professional Interest Forums: Topics and Dates 14The CISI CPD scheme explained 19The CISI CPD scheme and the RDR 20Booking Details 22Cancellation PolicyFor all reservations, we require credit or debit card details. These are held securely and a charge of £50 ismade in the event that you fail to honour a booking or cancel with less than 24 hours’ notice. 38 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  4. 4. FO UND Corporate Finance ER S’ SE RI ES Founders’ series By founding new businesses, entrepreneurs play a very important role in the market and make a significant contribution to the UK economy as a whole. An entrepreneur identifies and responds to opportunities, not necessarily by founding a new start-up, but often by working within an established business to set up a new department, found a joint venture subsidiary or even a network or partnership. Although the financial services industry is well established, it is still refreshing to see innovation, whether in the form of a new business model, product, investment or customer service proposition. In the second seminar in our series examining entrepreneurship in financial services, we talk to Luke Johnson of Risk Capital Partners LLP. CPD Seminar: Founders’ series: Luke Johnson of Risk Capital Partners LLP Date: 23 May 2011 Venue: Willis Ltd, 51 Lime Street, London EC3M 7DQ Investment principles and risk Biography: Luke Johnson co-founded Risk Capital Partners LLP in 2001. Luke studied medicine at Oxford and subsequently joined Kleinwort Benson as an analyst. In 1992 he organised the acquisition of Pizza Express and floated the business on the stock market at 40p per share. He was Chairman of this business until 1999, at which time the share price was over £8 and the business had a market capitalisation of over £500 million. More recently, Luke stepped down as Chairman of Channel 4 in 2010, having held the position for six years. Currently, he writes a weekly column for the Financial Times on entrepreneurship, and is Chairman of the Royal Society of the Arts. Time: 12.00 – 1.30pm (a sandwich lunch will be served from 12.00 – 12.30pm) Chairman: Christopher Jones-Warner, Chartered FCSI, Director, Playing Hamlet Ltd Speaker: Luke Johnson, Chairman, Risk Capital Partners LLP The Institute would like to thank Raymond James Investment Services Ltd, Willis Ltd and Playing Hamlet Ltd for their help in organising this series.4 8 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  5. 5. OV AD THE E 20 G V XT D R DI N 20 AL EC N EInvestment Management : UE ACPD Seminar: Another BRIC in the wall? The recent revival of the Russian economy and its future prospects DEDate: 9 May 2011Venue: Willis Ltd, 51 Lime Street, London EC3M 7DQ Investment principles and riskTopic: “An ineffective economy, a semi-Soviet social sphere, a weak democracy, negative demographic trends and an unstable Caucasus. These are very big problems even for a state like Russia” (Dmitry Medvedev, President of Russia, September 2009) President Medvedev was not alone in his withering critique of Russia. Indeed, the country was hit so hard by the financial crisis of 2008, many called for it to be dropped from the BRIC line up. This year however, due mainly to the recent increase in oil prices, Russian equities have substantially outperformed other emerging markets. Indeed, greater oil price stability should encourage investors to look afresh at Russia as a high growth, low debt story linked to the Asian boom. But how sustainable is the current economic rebound, and can it address any of the structural problems already highlighted by the President? This seminar will examine current economic and political developments, before looking at the markets. It will also consider other pressing issues such as corporate governance. In more detail, the event will cover the following: • The Central Bank of Russia, its increasingly independent monetary policy and the outlook for the ruble. • The parliamentary elections in December and the presidential poll next year. • Changes in labour market dynamics and strengthening profitability in domestic manufacturing. • The sectors favoured by investors currently.Time: 12.00 – 2.00pm (a sandwich lunch will be served from 12.00 – 12.30pm)Chairman: Christopher Jones-Warner, Chartered FCSI, Director, Playing Hamlet LtdSpeakers: Svetlana Borodina, Standard & Poor’s GAMMA Larry Brainard, Chief Economist, Trusted Sources Gregor Holek, Fund Manager, Raiffeisen Capital Management This seminar entitles you to one hour and thirty minutes of CPD. 58 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  6. 6. CPD Seminar: Confidence Accounting – fixing a root problem in financial systems Date: 11 May 2011 Venue: Chartered Institute for Securities & Investment, 8 Eastcheap, London EC3M 1AE Investment principles and risk Topic: ‘Confidence Accounting’ is a term for using distributions rather than discrete values in accounting. The term was coined by Long Finance proponents as part of a shift to interval estimates and confidence levels. In a world of Confidence Accounting, the end results of audits would be presentations of distributions for major entries in the profit & loss, balance sheet and cashflow statements. The proposed benefits of Confidence Accounting include a fairer representation of financial results, reduced footnotes, measurable audit quality and a mitigation of mark-to-market perturbations. This seminar intends to explore the proposal while assessing the benefits and costs. Time: 12.00 – 1.30pm (a sandwich lunch will be served from 12.00 – 12.30pm) Chairman: Professor Michael Mainelli, Chartered FCSI, Chairman, Z/Yen Group Ltd Speakers: Ian Harris, Finance Director, Z/Yen Group Ltd Paul Moxey, Head of Corporate Governance and Risk Management, ACCA The Institute would like to thank the Z/Yen Group for organising this event. CPD Seminar: Impact investments: an emerging asset class? Date: 12 May 2011 Venue: America Square Conference Centre, 1 America Square, 17 Crosswall, London EC3N 2LB Investment principles and risk Topics: • Impact defined: common misconceptions versus opportunities • The emergence of impact investing as a sector: it’s not new, but is it an asset class? • The impact investment universe: the case for growth • Measuring impact and relating it to financial returns • Constructing an impact portfolio: diversification is king • The future for Impact: a $1 trillion sector in less than 10 years? Time: 12.00 – 1.30pm (a sandwich lunch will be served from 12.00 – 12.30pm) Speakers: Alex Weiland, Investment Director, Truestone Impact Investment Management Ltd Marissa Blankenship, Head of Impact Research, Truestone Impact Investment Management Ltd6 8 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  7. 7. CPD Seminar: Trends and developments in the European wheat marketDate: 9 June 2011Venue: NYSE Liffe, Cannon Bridge House, 1 Cousin Lane, London EC4R 3XX Investment principles and riskTopics: • Milling wheat futures: a macro view • Milling wheat futures: the traders’ view • Contract specifications • Milling wheat performance • Price trends and intra-day volatility • Milling wheat calendar spreads • Wheat contracts in the US: contracts, differences and arbitrage opportunitiesTime: 12.00 – 1.30pm (a sandwich lunch will be served from 12.00 – 12.30pm)Speaker: Aaron Gill, Head of Business Development, Commodity Derivatives, NYSE LiffeWealth ManagementCPD Seminar: State benefits and investment planningDate: 12 April 2011 and 17 May 2011Venue: Chartered Institute for Securities & Investment, 8 Eastcheap, London EC3M 1AE Investment principles and riskTopics: • Overview of state benefits and the different eligibility criteria • The impact of investments on means tested benefits • Taxation of state benefits alongside other sources of income and capital • Review and questions Time: 5.30 – 6.30pmSpeaker: Cris Glascow MCSI, Consultant, Corporate Training Partnerships Ltd 78 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  8. 8. CPD Seminar: An outline of the taxation of financial products - tax efficiencies and tax risks Date: 18 May 2011 Venue: Grant Thornton UK LLP, 30 Finsbury Square, London EC2P 2YU Taxation Topics: • Unit trusts and open ended investment companies • Property fund structures • Hedge funds and other offshore funds • The reporting fund regime and what it means for UK investors • Life policies and offshore bonds Time: 5.30 – 6.30pm Speaker: Dana Ward, Partner, Tax, Grant Thornton UK LLP CPD Seminar: 3rd Party Pensions Sponsorship – the future of pensions provision? Date: 26 May 2011 Venue: Chartered Institute for Securities & Investment, 8 Eastcheap, London EC3M 1AE Investment principles and risk Topics: • A quick look back in time at demographics • Pensions - the smoking gun and the likely impact on generations X and Y • The current reforms – are they just ‘reshuffling the deck’? • The birth of 3rd party pension sponsorship Time: 5.30 – 6.30pm Speakers: Darren Say, Chief Executive, RGP Group Pierre Coussey, Chartered MCSI, Director of Pensions & Investment Strategy, Wealth Connection Ltd8 8 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  9. 9. CPD Seminar: An introduction to SIPPsDate: 8 June 2011Venue: Speechly Bircham LLP, 6 New Street Square, London EC4A 3LX Investment principles and riskTopics: • An introduction to the SIPP marketplace, covering the different types of SIPP proposition, the main players and the business opportunities/pitfalls for fund and wealth managers. • The legal and regulatory issues of dealing with SIPP accounts, including legal relationships, categorisation, account opening, suitability, reporting and liability. • The legal and tax planning issues affecting SIPPs including the tax treatment of contributions, investment restrictions and the impact of the death of the SIPP holder.Time: 5.30 – 6.30pm (this seminar will be followed by a drinks reception)Speakers: Vincent Mercer MCSI, Partner, Speechly Bircham LLP Jane Wolstenholme, Partner, Speechly Bircham LLP Hyman Wolanski, Managing Director, Sippchoice LtdCPD Seminar: Selecting the right ETFDate: 29 June 2011Venue: BlackRock, Murray House, 1 Royal Mint Court, London EC3N 4HH Investment principles and riskTopic: There are several key criteria that need to be considered when selecting an ETF for your client. In this session, iShares will look at each of these in turn to help you make the right choice for you and your client. This seminar will consider the following questions: • How well do you know your provider? • What’s in your ETF? • What are the implications of its structure? • How do you compare ETF performance? • Liquidity – can you trade when you need to?Time: 12.00 – 1.30pm (a sandwich lunch will be served from 12.00 – 12.30pm)Speaker: Kelly Farder, Vice President, iShares 98 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  10. 10. Compliance, Ethics and Corporate Governance CPD Seminar: Reforming remuneration practices in financial services – an overview of the Remuneration Code and some practical issues on its implementation Date: 6 April 2011 Venue: Speechly Bircham LLP, 6 New Street Square, London EC4A 3LX Regulation Topic: The Remuneration Code threatens to revolutionise the calculation and payment of remuneration in the financial services industry. Yet the speed and manner of implementation has left many aspects of its application uncertain. This seminar is likely to be of interest to those within organisations tasked with policy implementation and oversight, including remuneration officers, senior HR professionals, finance directors, compliance officers and remuneration committee members. In more detail, it will cover the following: • An overview of the Remuneration Code • A review of the further guidance from the FSA (expected March 2011) • Practical issues for firms in implementing the Code Time: 5.30 – 6.30pm (this seminar will be followed by a drinks reception) Speakers: Representatives from the Financial Services and Employment teams at Speechly Bircham LLP CPD Seminar: The MiFID Review – areas of significant impact and its influence on other legislation Date: 14 April 2011 Venue: America Square Conference Centre, 1 America Square, 17 Crosswall, London EC3N 2LB Regulation Topic: The review of the Markets in Financial Instruments Directive (MiFID) is now well under way. MiFID affects most aspects of the business of investment firms (from passporting and authorisation, through to organisational requirements) and is under review because of a legislative requirement on the European Commission. The recent financial crisis has strongly influenced many of the areas under examination, and far reaching changes look set to be made to post-trade transparency regimes for non-equity markets, transaction reporting, underwriting and also investor protection. This seminar will cover the following: • Significant impact areas under MiFID Review (Client order handling, pre/post trade transparency) • The knock on effects from other ‘ships in the harbour’ (Dodd-Frank, EMIR, AIFMD and UCITS) Time: 12.00 – 1.30pm (a sandwich lunch will be served from 12.00 – 12.30pm) Speakers: Gary Stanton, Chartered FCSI, Senior Manager, Financial Services Risk & Regulation, Ernst & Young Dr Anthony Kirby, Director, Financial Services Risk & Regulation, Ernst & Young10 8 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  11. 11. CPD Seminar: Ethics, culture and sustainability – a practical viewpointDate: 5 May 2011Venue: America Square Conference Centre, 1 America Square, 17 Crosswall, London EC3N 2LB EthicsTopics: • Is the ethics argument over? • Does your organisation have a culture? • What marks out a sustainable business? • Assessing impact, costs and benefits • Modifying corporate behaviour • The role of regulation • The Consumer Protection & Markets Authority (CPMA) as ‘consumer champion’? • Practical next stepsTime: 12.00 – 1.30pm (a sandwich lunch will be served from 12.00 – 12.30pm)Speaker: Nick Gibson, Chartered FCSI, Head of Compliance Solutions, Chase Cooper LtdCPD Seminar: Ethics workshop: integrity at workDate: 19 May 2011Venue: Chartered Institute for Securities & Investment, 8 Eastcheap, London EC3M 1AE PCIAM, IAC and MWMTopic: Honesty, decency and good behaviour – are you fit to conduct business in the current financial climate? Integrity at work is an innovative and interactive workshop focusing on the challenges posed by real business dilemmas. Drawing on genuine case studies, you will be invited to decide your response to each situation, and to provide suggested actions that could be taken in similar situations. The CISI is the largest and most widely respected professional body for those who work in the securities and investment industry, and one of its key objectives is the promotion of trust in the financial services industry.Time: 12.00 – 1.30pm (a sandwich lunch will be served from 12.00 – 12.30pm)Speaker: Kevin Moore, Chartered MCSI, Director of Global Business Development, Chartered Institute for Securities & Investment 118 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  12. 12. CPD Seminar: The new face of financial services regulation: what will it mean in practice? Date: 16 June 2011 Venue: Olswang LLP, 90 High Holborn, London WC1V 6XX Regulation Topic: The Government is committed to putting a new regulatory architecture in place by the end of 2012, with the FSA being replaced with two separate regulators, the Prudential Regulation Authority and the Financial Conduct Authority. This seminar will look at the Government’s White Paper with a view to considering the likely practical impact of the new regulatory structure for the regulated community. Time: 12.00 – 2.00pm (a sandwich lunch will be served from 12.00 – 12.30pm) Speakers: Brian McDonnell, Partner and Head of the Financial Services Regulatory Group, Olswang LLP Other speakers tbc This seminar entitles you to one hour and thirty minutes of CPD. CPD Seminar: The Foreign Account Tax Compliance Act (FATCA) – your obligations under the new US tax regime Date: 22 June 2011 Venue: Grant Thornton UK LLP, 30 Finsbury Square, London EC2P 2YU Taxation Topics: • An overview of the FATCA rules • Who is likely to be affected • How to comply with the FATCA regime • FATCA versus qualifying intermediaries Time: 5.30 – 6.30pm Speaker: Dana Ward, Partner, Tax, Grant Thornton UK LLP12 8 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  13. 13. OperationsCPD Seminar: Securities lending in the financial market place – how does it benefit clients?Date: 25 May 2011Venue: BlackRock, Murray House, 1 Royal Mint Court, London EC3N 4HHTopics: • Risk and risk mitigation – what are the risks and how can they be managed? • Collateral parameters – what are they and how do you respond to changes in the market? • Returns and benchmarking – how does securities lending fit into the total cost of ownership concept?Time: 12.00 – 1.30pm (a sandwich lunch will be served from 12.00 – 12.30pm)Speaker: Stefan Kaiser, Director, BlackRockCPD Seminar: The middle office: the impact of new regulations and infrastructuresDate: 6 June 2011Venue: Chartered Institute for Securities & Investment, 8 Eastcheap, London EC3M 1AETopics: • The strategic importance of the middle office • The likely impact of Target2 Securities • The new EU regulations affecting the middle and back officeTime: 12.00 – 1.30pm (a sandwich lunch will be served from 12.00 – 12.30pm)Speaker: Tony Freeman, Executive Director, Industry Relations, Europe & Asia-Pacific, Omgeo 138 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  14. 14. CPD Seminar: Clearing services for global marketsDate: 20 June 2011Venue: SWIFT, The Corn Exchange, 55 Mark Lane, London EC3R 7NETopics: • This seminar combines a theoretical and academic view on clearing as the core part of a smooth and efficiently functioning financial market infrastructure, and a practical view on the current landscape and developments. • Explanation of the core concepts developed for analysing the efficiency of clearing industry structures. • Conceptual outline of how the efficiency impact of various cross-border integration and harmonisation initiatives (such as cross-margining agreements, clearing links, and mergers) between clearing houses can be determined. • Focus is on applying the network view to the clearing industry to identify and explore network effects, with a focus on the European clearing industry. • The clearing industry constitutes a two-layered (product layer and system layer) and two-level (clearing house level and clearing member level) network structure and exhibits a number of positive and negative network effects.Time: 12.00 – 1.30pm (a sandwich lunch will be served from 12.00 – 12.30pm)Speaker: Tina Hasenpusch, Head of Clearing & Business Development, CME Clearing Europe 148 sii.org.uk/onlinebooking % +44 (0)20 7645 0652 * cpdevents@sii.org.uk
  15. 15. Professional Interest Forums: Topics and Dates CISI Professional Interest Forums (PIFs) are a benefit open to Fellows, Members, Associates and Affiliates. Students may attend one of each forum per year. All meetings are held at lunchtime and operate under the Chatham House rule. The meetings usually include a presentation from a speaker, some time for open discussion and a light lunch with an opportunity for networking with peers. Attendance at PIF events earns members appropriate hours of active learning under the CISI CPD scheme and is automatically added to your CPD log. For more information please visit cisi.org/cpdscheme. To receive notification of forthcoming forum meetings, please email your name, membership number and areas of interest to pifs@cisi.org. The Training Directors’ forum can be contacted on trainingdirectorsforum@cisi.org Corporate Finance Forum Topic: The life of Brian: Q&A with Brian Winterflood FCSI(Hon) Date: 5 April 2011 Venue: Wragge & Co, 3 Waterhouse Square, 142 Holborn, London EC1N 2SW Time: 12.30 – 2.00pm (a light lunch will be served from 12.30 – 12.50pm) Chairman: John Bridges MCSI, Partner, IAF Capital Ltd Speaker: Brian Winterflood FCSI(Hon), Life President, Winterflood Securities corporatefinanceforum@cisi.org Topic: Economics Date: 16 June 2011 Venue: Wragge & Co, 3 Waterhouse Square, 142 Holborn, London EC1N 2SW Time: 12.30 – 2.00pm (a light lunch will be served from 12.30 – 12.50pm) Chairman: Debbie Clarke CF, Chartered MCSI, Partner, Chantrey Vellacott DFK LLP Speaker: Tim Congdon CBE, Economist, Standpoint corporatefinanceforum@cisi.org15 8 cisi.org/pifs % +44 (0)20 7645 0650 * pifs@cisi.org
  16. 16. Islamic Finance Forum (in conjunction with the IIBI)Topic: Views from Sharia’a scholarsDate: 19 April 2011Venue: Chartered Institute for Securities & Investment, 8 Eastcheap, London EC3M 1AETime: 12.30 – 2.00pm (a light lunch will be served from 1.30 – 2.00pm)Chairman: Mohammad Shafique, Programme Development Co-ordinator, IIBISpeakers: Mufti Muhammed Nurullah Shikder, President & Head, Sharia’a Advisory and Sharia’a Compliance, Gatehouse Bank Shaykh Haytham Tamim, Director & Founder, Shariah Solutions Ltd islamicfinanceforum@cisi.orgTopic: tbcDate: 21 June 2011Venue: Chartered Institute for Securities & Investment, 8 Eastcheap, London EC3M 1AETime: 12.30 – 2.00pm (a light lunch will be served from 1.30 – 2.00pm)Chairman: Mohammad Shafique, Programme Development Co-ordinator, IIBISpeakers: tbc islamicfinanceforum@cisi.orgIT ForumTopic: Algorithmic tradingDate: 28 April 2011Venue: Goldman Sachs, River Court, 120 Fleet Street, London EC4A 2QQTime: 12.30 – 2.00pm (a light lunch will be served from 1.30 – 2.00pm)Chairman: Brian McNulty MCSI, Chief Executive Officer, DBFS LtdSpeaker: Caspar Marney, Chief Executive Officer, Marney Capital Ltd itforum@cisi.orgProvisional topic: Successfully migrating in-house solutions from one core platform to anotherDate: 30 June 2011Venue: Goldman Sachs, River Court, 120 Fleet Street, London EC4A 2QQTime: 12.30 – 2.00pm (a light lunch will be served from 1.30 – 2.00pm)Chairman: Brian McNulty MCSI, Chief Executive Officer, DBFS LtdSpeaker: tbc itforum@cisi.org 168 cisi.org/pifs % +44 (0)20 7645 0650 * pifs@cisi.org
  17. 17. Operations Forum Topic: Recruiting, training and retaining operations staff Date: 10 May 2011 Venue: Standard & Poor’s, 20 Canada Square, Canary Wharf, London E14 5LH Time: 12.30 – 2.00pm (a light lunch will be served from 1.30 – 2.00pm) Chairman: Frank Reardon, Chartered FCSI, Head of Investment Administration, J M Finn & Co Ltd Speakers: Allen Martin, Learning & Development Manager, HSBC Lucy Harris, Graduate Recruitment & Marketing Manager, HSBC Rod Pails, Academy Head – GBMI, HSBC operationsforum@cisi.org Topic: tbc Date: 29 June 2011 Venue: Euroclear, 33 Cannon Street, London EC4M 5SB Time: 12.30 – 2.00pm (a light lunch will be served from 1.30 – 2.00pm) Chairman: Frank Reardon, Chartered FCSI, Head of Investment Administration, J M Finn & Co Ltd operationsforum@cisi.org Risk Forum Provisional topic: Basel III Date: 12 May 2011 Venue: AXA Investment Managers, 7 Newgate Street, London EC1A 7NX Time: 12.30 – 2.00 (a light lunch will be served from 1.30 – 2.00pm) Chairman: Dennis Cox FCSI, Chief Executive Officer, Risk Reward Ltd Speaker: tbc riskforum@cisi.org17 8 cisi.org/pifs % +44 (0)20 7645 0650 * pifs@cisi.org
  18. 18. Topic: Investment horizonsDate: 23 June 2011Venue: AXA Investment Managers, 7 Newgate Street, London EC1A 7NXTime: 12.00 – 2.00pm (a light lunch will be served from 1.30 – 2.00pm)Chairman: Dennis Cox FCSI, Chief Executive Officer, Risk Reward LtdSpeakers: Clive Lambert, Director, FuturesTechs Mark Tinker, Global Fund Manager, AXA Investment Management Dean Turner, Investment Strategist, Barclays Wealth riskforum@cisi.orgCompliance ForumTopic: Hot topicsDate: 18 May 2011Venue: Travers Smith, 10 Snow Hill, London EC1A 2ALTime: 12.00 – 2.00pm (a light lunch will be served from 12.00 – 12.30pm)Chairman: Julian Sampson, Chartered FCSI, Director, Fulcrum Compliance LtdSpeakers: tbc complianceforum@cisi.orgTopic: MiFID 2Date: 5 July 2011Venue: Hogan Lovells, Atlantic House, Holborn Viaduct, London EC1A 2FGTime: 12.00 – 2.00pm (a light lunch will be served from 12.00 – 12.30pm)Chairman: Julian Sampson, Chartered FCSI, Director, Fulcrum Compliance LtdSpeaker: tbc complianceforum@cisi.org 188 cisi.org/pifs % +44 (0)20 7645 0650 * pifs@cisi.org
  19. 19. Wealth Management Forum Topic: The art of a good pitch Date: 24 May 2011 Venue: Travers Smith, 10 Snow Hill, London EC1A 2AL Time: 12.30 – 2.00pm (a light lunch will be served from 12.30 – 1.00pm) Chairman: Christopher Jones-Warner, Chartered FCSI, Director, Playing Hamlet Ltd Speaker: Roly Grimshaw, Founding Partner, Swordpoint Advisors Ltd pwmanforum@cisi.org Topic: Active versus passive management Date: 12 July 2011 Venue: Travers Smith, 10 Snow Hill, London EC1A 2AL Time: 12.30 – 2.00pm (a light lunch will be served from 12.30 – 1.00pm) Chairman: Amy Lazenby, Chartered FCSI, Investment Manager, Wilson King Investment Management Speaker: Clive Beagles, Fund Manager, JO Hambro Capital Management and Dimensional Fund Advisors pwmanforum@cisi.org Training Directors’ Forum Date: 21 April 2011 Venue: Chartered Institute for Securities & Investment, 8 Eastcheap, London EC3M 1AE Time: 12.00 – 2.00pm (a sandwich lunch will be served from 12.00 – 12.30pm) Chairman: Sandra Jacobs, Regulatory Risk Manager - Central Functions, Royal Bank of Scotland Speaker: tbc trainingdirectorsforum@cisi.org19 8 cisi.org/pifs % +44 (0)20 7645 0650 * pifs@cisi.org
  20. 20. The CISI CPD Scheme ExplainedFinancial services practitioners perform CPD activities every working day, often withouteven realising it. Reading industry publications, attending internal briefings, mentoring newcolleagues and attending professional events such as the ones detailed in this programme areall valid forms of CPD.As regulatory interest and focus on the maintenance of professional competence increases, itis not enough simply to undertake these activities on their own; practitioners need to recognisethat such activities are CPD, thereby enabling them consciously to extract the learning fromthem. It is also important to record CPD activities undertaken. During 2011, the CISI will beupdating and refreshing its CPD scheme to reflect new developments in the regulation of CPD,as well as best practice.The CISI’s CPD scheme empowers its users to take ownership of their own development. Thescheme log, a free, web-based system, allows users to monitor and record their CPD quickly andeasily. It even records automatically participation in all CISI CPD activities, such as attendanceat professional events, taking examinations and using elearning tools. Members can alsorecord activities undertaken with other professional bodies, CPD providers and firms.CPD Learning Type Min Claimable Hours Max Claimable HoursActive 1 30Reflective 1 15Self-directed 1 5Development of others 1 20Those using the CISI CPD scheme are required to log 35 hours of activities per annum (inline with the grid above) in order to meet the Institute’s target. Those that succeed receive aformal end-of-year certificate from the CISI, which can be used to prove adherence to Training& Competence (T&C) requirements. Participation on the Institute’s scheme is compulsory formembers wishing to become personally Chartered and thereafter to remain Chartered.For those members affected by the FSA’s Retail Distribution Review, during 2011 the schemewill be refreshed and developed to enable members to log activities in relation to the core areasof the RDR (which include regulation, ethics, personal taxation, investment principles and risk),as well as to cover both structured and unstructured learning.Please see the diagram overleaf which outlines where CPD activities fall under the CISIscheme and proposed FSA structure.For further details about the scheme please contact cpdscheme@cisi.org 208 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  21. 21. Active activities Reflective encompasses are interactive or involve activities that are of a briefing participation. This is a nature and where there are proactive structured no opportunities for audience learning element. These interaction. Some activities count count towards the towards the RDR requirement for RDR requirement for structured learning while others structured learning. are unstructured. Structured Structured Unstructured Training Courses Company Podcasts Briefings/Updates Workshops Webcasts Interactive Webcasts CPD Events Infolink Webstreams Seminars Television Programmes Conferences eLearning The CISI CPD Scheme and the RDR The CISI CPD scheme recognises activities offered by Exams firms, other professional bodies and training providers, in addition to the opportunities that we provide. We PIFs show here a range of CPD activities categorised into each of the four learning elements required under the CISI scheme. For those members affected by the RDR, we have highlighted the activities that can be defined as Exam Training structured or unstructured learning for FSA purposes. Courses Lectures21 8 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  22. 22. Self-Directed Development of Others includes all is concerned with sharing your unaccompanied knowledge and expertise for activities undertaken. the benefit of others. Some These count towards activities count towards the the RDR requirement for RDR requirement for structured unstructured learning. learning while others are unstructured. Unstructured Structured Unstructured Securities & Chairing Events Mentoring and Investment Review Inducting Staff Developing and Workbooks Assessing Exam Questions Contributing towards Studying Learning Materials Presenting at an Event Regulatory Member of Update Board, Panel Briefing Staff and or Committee Colleagues Online News Services Syllabus Exam Staff Training Panel Trade Magazines Writing Industry Articles, Workbooks Financial Times and Journals Industry Journals Research Annual Target: 35 hours Minimum Maximum Exam Revision CPD Learning Type Required hours Contributing hours Active 1 30 Reflective 1 15 Investment Self-Directed 1 5 Management Review Development of Others 1 20 228 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  23. 23. BOOKING DETAILS To reserve places Seminars are free to Fellows, Members, Associates and Affiliates. Non-members are charged £100 per event. Students are entitled to attend four CPD seminars free of charge per subscription year. Thereafter, they will be charged the concessionary rate of £25 per booking. Please be aware that we request credit card details before making a booking. The Institute’s CPD seminars programme covers the main industry sectors. You can select seminars from any of these areas to suit your training requirements. Bookings can be made in two ways: - call the CISI team on +44 (0)20 7645 0680 - online at cisi.org/onlinebooking Your login information for online booking is available from the Client Services team: clientservices@cisi.org or +44 (0)20 7645 0680. Confirmation of your booking, with venue details, will be emailed to you on making the booking and a reminder sent at least a week before each seminar is due to take place. Professional Interest Forums Professional Interest Forums are only open to Fellows, Members, Associates and Affiliates. To receive regular email alerts on the forums, including future events, please email pifs@cisi.org. The Training Directors’ Forum can be contacted on trainingdirectorsforum@cisi.org. CPD Accreditation Each seminar entitles you to one hour of CPD, unless otherwise stated. Cancellation Policy Regrettably, our experience dictates the following precaution. We ask that members give at least 24 hours’ notice when cancelling a seminar booking. In the event that this is not honoured, the Institute will charge a fee of £50.23 8 cisi.org/onlinebooking % +44 (0)20 7645 0680 * cpdevents@cisi.org
  24. 24. Expand your knowledge, gain CPD hours and stay ahead of the competition by taking our topical professional development training courses New Dates Released: April - September 2011 Visit cisi.org/coursesBring your membership card to every CISI event to ensure your CPD hours are counted!Scan your card on arrival and your CPD hours will be automatically added to your personal log. Don’t forget to pick up a cardholder and lanyard. Your card is designed to be used as a name badge too. Want more information? Visit cisi.org/cards
  25. 25. April-June 2011Chartered Institute for Securities & Investment,8 Eastcheap, London EC3M 1AE8 cisi.org% +44 (0)20 7645 0600* info@cisi.org March 2011

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