Independent Compliance Committee Member Forum


Being an external member of the compliance committee for a Registered Scheme of a Responsible Entity presents many challenges. One challenge is being properly informed about industry issues and developments, then being in the position to make a meaningful contribution during the meeting. Most external members have a background in financial services and have broad industry knowledge, but that is not the same as having an appreciation of the detailed workings of schemes, the Compliance Plan and the regulatory framework.

Over drinks at an industry function, soon after the introduction of the Managed Investment Act, a few of us including the usual suspects of regulators, lawyers, accountants, administrators and fund managers, thought a regular lunch meeting would be a great initiative for someone to launch. So, in March 1999, the Forum was established with a briefing in a small boardroom. The group soon outgrew the capacity of the smaller meeting rooms and Forums are now held in the large meeting rooms of leading professional services firms, such as Baker & McKenzie and EY.

From 2008 to 2017 Forums were held at the offices of Baker & McKenzie, in Bridge Street and in 2017 most will be held at EY’s new offices at 200 George Street with a few side trips to other firms and venues.

Generally, there is an opportunity to network over a light lunch before formal proceeding commence. Presentations are usually from 20 - 30 minutes with time for questions and discussion afterwards. Around 50-80 professionals attend each time and name tags are provided.

Topics are relevant to the role of being an Independent Compliance Committee member and vary from highly technical to broad issues. The presenters are all highly regarded industry representatives and subject matter experts. While the discussion is oriented towards independent compliance committee members, compliance professionals and service providers are welcome to join the group and attend.

There is no charge for attending the Forum; the hosts kindly provide the venue and refreshments, so we are keen to keep the attendance group tight.

Invitation is by individual email from a list maintained on MailChimp, an email broadcast service. For catering and logistics purposes an email RSVP is required each time and very occasionally, we may have a cap on numbers.

Contact Paul Dortkamp   contact@rivergum.com    Telephone +61 2 9544 3790   LinkedIn au.linkedin.com/in/pauldortkamp.

Design© 2017. Rivergum Investor Services. All Rights Reserved. Design by STEAM Computer.