Preview

Your playlist

Exploring the proposed financial accountability regime

45 mins 0.75 CPD Hours

What does Treasury’s proposed Financial Accountability Regime (FAR) have in...

Operational Due Diligence: A refreshed approach

45 mins 0.75 CPD Hours

AIST’s Operational Due Diligence Guidance Note has been revised after...

Instant acccess for
$70.00

Operational Due Diligence: A refreshed approach

45 mins
0.75 CPD Hours

CMSF 2020 Policy  Operations  Investment  Governance

 

After extensive consultation with AIST member funds and industry stakeholders, this session will see the launch of the newly revised version of AIST’s Operational Due Diligence Guidance Note.

You will be briefed on the changes that have been made, and how the Guidance Note continues to support funds to ensure compliance with best-practice, cost-effective and timely Operational Due Diligence requirements.

Speakers

Joanna Chang, Investment Risk Specialist, APRA

Joanna Chang, CFA, FRM is an Investment Risk Specialist at the Australian Prudential Regulation Authority (APRA). She provides advice and guidance on investment risk matters relating to super funds and insurers. Joanna has spoken at industry conferences both locally and overseas on governance related topics including management of climate related financial risks.

Joanna has also previously served as a Technical Advisor to the House of Representatives Standing Committee on Economics.  Prior to joining APRA, Joanna held several roles within Westpac’s institutional division across financial markets trading and corporate advisory areas.

Joanna is a member of the global CFA Institute Education Advisory Committee which provides oversight and guidance to the processes by which CFA Institute develops program curriculum materials for the CFA Program and other course offerings.


Michael Gallagher, Director, AIMA

Michael Gallagher has been Director and General Manager of AIMA Australia since August 2014. He is also Non-Executive Chair of the ASX listed Fat Prophets Global Contrarian Fund. He is a director of the Alternative Future Foundation whose flagship event Hedge Funds Rock and the Australian Alternative Investment Awards has been the key industry charity support event for 19 years. 

Michael also Chairs Australian Students Asset Management, a university student funds management programme designed to align students and industry. 

Prior to AIMA, Michael was CEO and Co-Founder of Kima Capital in Australia and Hong Kong. He has also held positions as Australasian Head of Equites for Rand Merchant Bank and was a Divisional Director in Equity Derivatives at Macquarie Bank in Australia, South Africa and the UK. Michael holds a BComm in Econometrics and Finance from UNSW.


Grant Harslett, Executive Manager Investment and Finance, Maritime Super

Grant has been Executive Manager Investments & Finance of Maritime Super since 2004.

He has over 40 years’ experience in the Australian superannuation industry, having worked in a range of management and consulting roles covering investment, actuarial and finance areas.

Grant is a member of the AIST Investment Operations Community of Interest and has been an active member of the AIST working group on operational due diligence.


Natasha Kronouer, Principal Consultant, Head of Governance, Frontier Advisors

Natasha Kronouer is a Principal Consultant at Frontier and Head of Frontier’s Governance Advice, Risk, Decisions and Strategy (GARDS) Team having joined Frontier in 2006 and the Governance team in 2013. Natasha has considerable experience providing governance advice to investment committees and boards, reviewing and preparing investment policies, as well as undertaking reviews of investment beliefs and internal investment capabilities across a range of institutional investors. Natasha is also a senior member of Frontier’s investment consulting team, providing consulting support to clients, involvement with investment and manager research and she is a member of the Manager Rating Committee and the Responsible Investment Group. Natasha previously worked for National Australia Bank and spent 2008 in the UK working at Willis Towers Watson. Natasha holds a Bachelor of Commerce with Honours in Economics and a Bachelor of Arts degree from the University of Melbourne.


Lauri Martin Haas, Managing Director and Founder, PRISM LLC

Lauri Martin Haas is the Managing Director and Founder of PRISM LLC, an independent ODD service provider launched in 2009. Ms. Haas has 24 years of capital markets operational due diligence experience, and has evaluated 2,500 hedge funds and private equity funds globally.

Prior to forming PRISM in 2009, she worked on both the audit team and the risk and regulatory advisory team of Ernst & Young LLP in New York City specializing in capital markets and derivatives operational risk at banks (1995-1999), with the global CFO of JP Morgan Investment Management in New York City (2000-2001), and led the global hedge fund operational due diligence team at the Geneva headquartered Union Bancaire Privee from New York City across New York, Bermuda, and London (2001-2009).

Her early experience as a journalist working for the executive producers for NBC Nightly News (1999-2000) also helped her develop a unique approach to interviewing people, as well as commercially gathering information and thoughtfully fact checking findings.

She graduated with a BS degree in accounting from the State University New York at Albany in 1995, with honors. She earned her CPA accreditation in 1998 and her FRM (certified financial risk manager) accreditation in 2002.

She is the Chairperson for the Operational Best Practices Committee of the California Alternative Investments Association (“CalAlts“) (formerly known as the California Hedge Fund Association), in November 2016 was appointed a member of the Board of Directors for CalAlts, and in November 2017 was also appointed 2nd Vice President for CalAlts.

Since February 2019, Lauri also serves on the Global Board of Directors for Help For Children (“HFC”, formerly known as Hedge Funds Care).


Vincent So, Policy Manager – Investments and Global Markets, FSC

Vincent So is the Policy Manager for Investments and Global Markets at the Financial Services Council.

Vincent has over 10 years’ experience working in government, financial services, technology and public relations. His work as a ministerial and electorate advisor to various ministers covered economic, national security and environment portfolios in the Australian, New South Wales and Malaysian Parliament.

Outside of politics, Vincent worked for Wilson Asset Management in corporate affairs, Macquarie Bank in equities broking, Royal Bank of Scotland in debt capital markets and infrastructure advisory, Oracle in sales and consulting, and Weber Shandwick in public relations.   

Vincent holds a Bachelor of Commerce – Accounting and a Master of Policing, Intelligence and Counter Terrorism with distinction where he received a scholarship to present on Australian and Indian national security relations in New Delhi, India to various government and academic bodies.


Chair

David Haynes, Senior Policy Manager, AIST

As AIST’s Senior Policy Manager, David has spent the last 10 years working closely with Parliament, Government, Treasury, all regulators and other key stakeholders in developing and implementing all aspects of superannuation policy, including all regulatory changes and major projects such as the Financial Services Royal Commission, default fund selection, and the Insurance in Super Code

David has 30 years’ experience in the industry including time as the CEO of Industry Fund Services and AUSfund, an executive at Members Equity, as an account manager for a major adminstrator, and as a trustee of superannuation funds.

David holds a parallel role as Executive Superannuation Policy Advisor at IQ Group.  He has also been a director of numerous private and public sector board.


CPD 0.75pt

LITERACY_FOR_LIFE.jpg

  

  View Collection

Industry partners