Time for Transparency in Asset Management, Investment Consulting and Fiduciary Management

Online symposium using interactive Zoom. 

Tuesday, September 29th, from 6pm until 8pm, UK time

With much thanks to our event sponsors:

Other sponsorship opportunities available – please get in touch

Executive Summary

This Symposium is dedicated to discussing and debating the work that has been undertaken by various parts of the regulatory framework including of the Competition & Market Authority, the Financial Conduct Authority and the Pensions Regulator; as it relates to the Asset Management, Investment Consulting and Fiduciary Management sectors. 

Our overall purpose for the event is to shine a bright light onto these important areas, in keeping with the TTF’s mission to encourage ongoing reform of the financial services sector, so that it serves society better.

As you will no doubt be aware, the CMA, FCA and tPR have been very active in these areas, with a view to fulfilling their statutory duties to protect consumers interests and provide well-governed, free and competitive markets. 

There have been extensive investigations and ground-breaking forensic analysis into the workings of the Asset Management, Investment Consulting and Fiduciary Management sectors. Our symposium represents a great chance to take stock of all the changes that have been introduced and to consider the extent to which they are delivering the improvements that were intended. 

Perhaps the major regulatory interventions have been the FCA’s Asset Management Market Study and the subsequent CMA investigation back in September 2017 and their eventual “Final Remedies”. Of course, TPR have been dealing with some of the direct consequence of the output from both. 

These various regulatory developments represent much more than just an academic or abstract interest to our community; because if they work as intended, they will provide for better outcomes to the people that really matter in our markets – the asset owners, trustees and pension scheme members.

Through the symposium, we’ll be able to consider key questions such as:

  • Are we still on track for meaningful reform of the system?
  • Have the potential competition problems identified by the FCA and CMA been properly dealt with?
  • Are there still reasons to be concerned about conflicts of interest?
  • Have the regulators created a level, competitive and open market; or is it in some way skewed?
  • To what extent are “the big 4” now dominating market dynamics in the investment consulting and fiduciary management space?
  • Will the changes being introduced, fix the “adverse effects on competition” that had been identified?
  • How have the various stakeholders dealt with interpreting and executing the regulatory reforms?
  • Are we witnessing any unintended consequences?
  • Is it definitely too late to impact policymaking in this space?

Furthermore, we’ll be taking a look at two areas where consumers could still be missing out – Scrip dividends and securities lending; prepare to have your eyes opened. 

All in all, this symposium is a “not to be missed” event for anybody keen to stay in touch with the complex market dynamics and the ongoing regulatory interventions in the asset management, investment consulting and fiduciary management space.

Please do join us for what promises to be an interesting, engaging and thought-provoking event.

There will be a range of stakeholders involved, including some of our Ambassadors and members of our TTF International community. 

We’ll also be touching on a range of insights, ideas and initiatives that are referenced in our new book, entitled

“Why we must rebuild trustworthiness and confidence in financial services; and how we can do it.”

Please get involved and be part of the solution.

Scroll down for further info, speaker details and to make bookings

Who should participate?

This online event will be of particular interest to individuals and organisations that authentically align with the idea that the financial services sector is important and that there is scope for improvement in how it works.

You can expect to be amongst progressively minded and collaboratively minded people.

On the basis that “progress begins with realism” we’ll be running the event as a forum to enable everybody to “say it as they see it.” We will be facilitating the kind of candid yet constructive discussion that is needed to help move matters forward.

We don’t think any one person or organisation has all the answers; and we also think that all answers are worth listening to, so if you’ve got a point of view that you’d like to share, and are keen to hear the views of others, this is definitely an event for you.

This symposium will cover important topics that will be of particular interest to:

  • Think Tanks and Civil Society Groups with an interest in the financial ecosystem
  • Economists
  • Industry Observers, Commentators; the Media in General
  • Policymakers
  • Regulators
  • Politicians interested in the financial services sector
  • Market Conduct Professionals
  • Sustainaility experts 
  • Bankers and representatives of Banking organisations
  • Risk Management Professionals
  • Compliance Professionals
  • Pension Professionals
  • Financial Planners
  • Fiduciaries
  • Financial Services Trade Bodies and Professional Associations
  • Academics and researchers in governance, stewardship, ethics, conduct and compliance throughout the financial services sector.


We will be using interactive Zoom, a highly effective online platform which means we can run this symposium as an ultra-convenient and wonderfully efficient event; all this, without you needing to leave your home or office.

You’ll just need access to a computer with Broadband connection. 

We will be structuring the event in such a way that it will be as engaging and as interactive as we can possibly make it. We’ll  be working hard to create as “life-like” an event as possible, with every opportunity taken to create interaction and engagement.

There will be several presentations with Q&A sessions and an open discussion and debate session towards the end.

Here’s the programme and timings, so far*

6pm BST

Welcome to the symposium, introductions and initial exploration of the main issues; plus “Why we must rebuild trustworthiness and confidence in financial services; and how we can do it” by 

Andy Agathangelou FTTF FRSA

Founder, Transparency Task Force; Governor, Pensions Policy Institute; former Founding Chair, Friends of Automatic Enrolment; former Founding Chair, Association of Member Nominated Trustees.


6.20pm BST

Presentation #1, for 10 minutes + 5 minutes Q&A with facilitated discussion, by

Roy Zimmerhansl
Practice Lead, Pierpoint Financial Consulting Ltd

Roy Zimmerhansl is Practice Lead at Pierpoint Financial Consulting, a boutique securities finance consultancy.  Roy is a recognised expert with many decades’ experience in securities finance and collateral management with a strong custody and clearing background.

One of Pierpoint’s key goals is to provide insights that result in improved transparency for investors, trustees and other key stakeholders.  Roy has taught public and in-house training sessions in 15 cities around the world and brought his robust approach to the conferences he has chaired, moderated or been a panellist at, for over two decades.

He has been vice-chair of the International Securities Lending Association, a director of the Pan Asia Securities Lending Association, a member of the Bank of England’s Securities Lending and Repo Committee and has acted as expert witness in securities finance legal cases in both the USA and UK.


6.35pm BST

Presentation #2, for 10 minutes + 5 minutes Q&A with facilitated discussion, by

6.50pm BST

Short comfort break and leg-stretch for 10 minutes

7pm BST

Presentation #3, for 10 minutes + 5 minutes Q&A with facilitated discussion, by

7.15pm BST

Presentation #4, for 10 minutes + 5 minutes Q&A with facilitated discussion, by

7.30pm BST

Open discussion & debate, 25 minutes

7.55pm BST until 8.00pm BST

Final conclusions; suggested next steps and close to the formal proceedings. 

However, for those that want it…

8:00pm BST until 8.30pm BST

…informal, unstructured networking and informal conversation; fireside chat” amongst friends as it were.

Please click below to book your place

Once your place is secured, you will be automatically Emailed the details you need to access the event through interactive Zoom – please be sure to enter your Email address correctly. 

For any queries please contact us.

Further information about the TTF

You can click on the button below to read about the 130+ Transparency Task Force Ambassadors. The list includes world class academics and highly respected thought leaders from right around the world.

Click here to see the TTF Ambassadors

Transparency Task Force Advisory Group

You can click on the button below to read about the Transparency Task Force Advisory Group, which is Chaired by the former Chair of the Financial Conduct Authority’s Financial Services Consumer Panel.

Click here to see the TTF Advisory Group

If you want to read testimonials…

If you haven’t been to one of our events before you can use the link below to read some testimonials:

Click here for Testimonials

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