WealthBriefing AWARDS 2016...Help or Hindrance? The Link Between Technology Provision and Advisor Productivity was premised on the notion that there is a widening gap between the leaders

AWARDS WealthBriefing

2016

AWARDS PROGRAMMEGuildhall, City of London

19 May 2016

SHOWCASING THE BEST IN THE INDUSTRY

Congratulations to all nominees for the WealthBriefi ng European Awards 2016

ABN AMRO Private Banking offers a full range of banking, financial & estate planning, and investment services. Our domestic and international offi ces in more than 10 markets include the prestigious private banks of ABN AMRO MeesPierson in the Netherlands, Bethmann Bank in Germany and Neufl ize OBC in France. We also enjoy a signifi cant presence in both Singapore and Hong Kong.

abnamroprivatebanking.com

WealthBriefing European Awards 2016 - Showcasing the best in the industry

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WELCOMETO THE WEALTHBRIEFING EUROPEAN AWARDS 2016 - SHOWCASING THE BEST IN THE INDUSTRY

I am delighted to welcome you all to the WealthBriefing European Awards 2015 ceremony. This promises to be a highly enjoyable event. At this wonderful setting of London’s Guildhall in the heart of the City, we will see outstanding practitioners in the wealth management sector rightly acknowledged for their work in what has been and remains a challenging time – but also one ripe with opportunities. And tonight also promises to be a great chance for you all to catch up with old friends and also hopefully to make many new ones. The judges’ diligence and efforts are greatly appreciated. We congratulate the winners and those people and firms who were shortlisted – both are great achievements.

WealthBriefing – celebrating its own 10th anniversary of covering this sector – remains as committed as ever to ensuring that the firms and people who set high standards are recognised for the work they do. We look forward to deepening our engagement with this industry in the years ahead. On behalf of all of us at WealthBriefing, I wish you all a lovely evening and wish you all the best for the future.

STEPHEN HARRISPublisherWealthBriefing

STEPHEN HARRIS

{ }”Independence, integrity and genuine

insight will be the watchwords of the judging process”

© 2016 WealthBriefing. All rights reserved. WealthBriefing is part of ClearView Financial Media Ltd, registered at Heathman’s House, 19 Heathman’s Road, London, SW6 4TJ, United Kingdom. Tel: +44 (0)207 148 0188. www.wealthbriefing.com

WealthBriefing Ad 210x297 2016 Final - Update.indd 2 11/04/16 17:08


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YOUR EVENING AHEAD

YOUR PROGRAMME…

The Cure Parkinson’s Trust (CPT) was set up in 2005 by four peo-ple living with the condition. It has one bold aim – to cure Par-kinson’s. CPT funds innovative projects and inspirational scien-tists; we are dedicated to beating Parkinson’s through research, specifically driving towards treatments that can slow, stop or reverse Parkinson’s within five years.

Parkinson’s is a neurological disorder affecting one person in every 300. It is characterised by the presence of tremors, stiff-ness, slowness of movement and balance problems. Other non-motor symptoms such as mood changes, loss of sense of smell, pain and sleep disruption, also characterise the condition. Par-kinson’s already affects around 127,000 people in this country alone - and of course many more if you include family, friends and carers - and yet symptoms are still treated with the same group of drugs we have had for 45 years. There is currently no approved treatment which can even slow down, let alone re-verse or cure the condition.

The charity manages a series of integrated programmes: a treatment development programme (Linked Clinical Trials) that aims to fast-track potential treatments into trial, and into clinic; a grant award scheme to identify and fund science excellence and a measurement and assessment programme to test and in-vestigate wearable devices to track symptoms that are relevant to people living with Parkinson’s. We believe the work we are doing is critical to making an impact on the future lives of those living with this debilitating condition. www.cureparkinsons.org.uk

The Cure Parkinson’s Trust is a registered charity in England and Wales (1111816) and Scotland (SCO44368)

Kamal Ahmed is the Economics Editor of the BBC, formally the Business Editor of the BBC, a position he took up in March 2014. He leads the BBC’s on air economics coverage and makes regular appearances on the Today programme, the Six and Ten O’clock news bulletins as well as Newsnight and documentary programmes across television and radio. His blog is widely read online.

Kamal joined the BBC from the Telegraph Media Group which he joined in September 2009 as Business Editor of The Sunday Telegraph. Kamal also led the editorial team delivering The Tel-egraph’s annual Festival of Business, a celebration of medium and smaller sized businesses in the UK.

Between 2007 and 2009 Kamal was Group Director, Com-munications, at the Equality and Human Rights Commission, the regulator charged with upholding and enforcing equality and hu-man rights legislation in Britain.

Before joining the Commission in 2007, Kamal was Executive Editor, News, at The Observer with responsibility for the news section of the paper. He was a member of the team that devel-oped and re-launched The Observer as a mid-size full colour Sunday, a development that won Newspaper of the Year at the British Press Awards in 2005, the highest award for any news-paper.

Between 2000 and 2004 he was Political Editor of The Ob-server covering Tony Blair’s government and the lead up to the Iraq war. Between 1996 and 2000, Kamal worked for The Guard-ian, starting on the paper as Royal Correspondent, later becom-ing Media Correspondent and then Media Editor.

Kamal is an industry mentor for the Media Trust, an organisa-tion committed to increasing diversity in the media and regular speaker at their events.

KAMAL AHMED Economics Editor BBC

KEYNOTE SPEAKER…

6:30pm - Drinks reception

7:30pm - Welcome address from Stephen Harris Chief Executive - ClearView Financial Media, publisher of WealthBriefing

7:35pm - Starter

8:00pm - Awards presentation

8:15pm - Main course

8:45pm - Electra - set 1

9:00pm - Dessert & coffee


9:45pm - Electra - set 2


10:45pm - Awards conclusion

CHARITY ORGANISATION…

2015 proved to be another exciting year for WealthBriefing Research, with the team exploring a number of fresh topics as well as continuing to track the most important issues affecting the industry. We look forward to expanding our thought-leader-ship footprint even further in the year ahead.

In September 2015 we published our third annual Technology and Operations Trends Report. This research examines technology’s crucial role in improving operational efficiency, risk control and the client experience as firms grapple with the tripartite pressures of increasing regulatory scrutiny, spiralling costs and an ever-more demanding client base.

With technology no longer anything like a tangential issue, Technology and Operations Trends in Wealth Management has proven to be among the most popular studies in our regular roster of research. Among the issues illuminated by 2015’s report were: the (changing) drivers increasing acceptance of new ways of working like cloud computing, hosted software and BPO; the compliance obligations that are proving to be the biggest challenges to firms, and how they are leveraging technological solutions to address them; and how institutions can find a path that allows them continue to innovate despite budgetary constraints and possibly also a degree of corporate inertia.

Underlying our technology-related research efforts is the acknowledgement that wealth managers are now seeking to do ever more with less – namely, to deliver superior outcomes for clients and immaculate evidencing for regulators, while still maximising operational efficiency and stemming spiralling costs. A relatively under-researched – and yet absolutely crucial – part of this puzzle is advisor productivity, a topic which WealthBriefing explored in depth in May 2015.

Help or Hindrance? The Link Between Technology Provision and Advisor Productivity was premised on the notion that there is a widening gap between the leaders and laggards on the technol-ogy front and that, correspondingly, many advisors are being held back from performing optimally. Among the headline findings of this report are that three-quarters of relationship managers would consider leaving a firm due to poor technology provision and that the same proportion would carry out technology due diligence on a potential new employer before making a move. Clearly, a wealth manager’s technology set-up is becoming an ever more important recruitment and retention issue – for both advisors and HNW clients themselves.

As well as full-length research reports, WealthBriefing is continuing to build on its regular output of white papers and these cover topics as diverse as the use of digital signatures in wealth management and how technology can be harnessed to tackle conduct risk. The latter was the product of a thought-lead-ership event featuring some of the leading experts in this field

and we will be continuing to produce similar papers to ensure that even those who are unable to attend in person are still able to benefit from the cutting-edge insights our seminars, summits and webinars generate month in, month out.

WealthBriefing has long been at the forefront of research into the Independent Asset Manager sector in Switzerland and 2016 will see our efforts hugely expanded to explore this sector’s development across the major wealth hubs of Asia. We are very much looking forward to revealing the findings of this ground-breaking report at its launch events in Hong Kong and Singapore at the beginning of June, and to expanding our network of IAMs.

Last, but certainly not least, is a totally new area of research for WealthBriefing, but one which could hardly be more pertinent in today’s rapidly evolving geopolitical and regulatory environment: KYC/Client Due Diligence procedures. Here, we will be offering wealth managers a useful benchmark of the resourcing their peers are putting into KYC and broader compliance procedures, along with insights on how leading firms are tackling the biggest challenges (and opportunities) surrounding these weighty obligations.

Our full research output dating back to 2010 can be viewed via the Research page of the WealthBriefing site and any feedback would be most welcome. Equally, we would be delighted to hear about any new topics that members of our network believe we could usefully pursue.

Please direct research-related enquiries to:

Wendy SpiresHead of Research

[email protected]

www.wealthbriefing.com

HIGHLIGHTS FROM 2015 & LOOKING AHEAD

WealthBriefing Research


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STARTER

Ceviche of seabasswith chilli scented pepper purée, mango & lime salsa, coriander leaves & black sesame

MAIN

Duo of Hereford beefloin of beef & slow-cooked shin of beef, summer squash purée& pan roasted heritage

carrots with a water velouté to pour

DESSERT

Pimm’s spiked summer berry terrinewith lavender shortbread & sweetened yoghurt , with cucumber and strawberry sorbet

WINE

Michel Servin Blanc, Vin de France, 2014, FranceLight and straightforward, with an up-front nose of citrus fruit, tinged with a subtle leafy character.

Crisp and dry on the palate, with plenty of refreshing acidic bite

Flor Del Fuego Cabernet Sauvignon, 2013, ChileFruity flavours of plum and blackcurrant, with a cassis-like concentration, lifted by subtle green-pepper-like

savoury tinges. Easy-going tannins provide a ripe and friendly mouthfeel

Wine kindly sponsored by

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YOUR MENU

WealthBriefing and its regional sister sites are the leading subscription-based business intelligence services for the wealth management community, with the latest news, analysis and in-depth features from around the globe. Delivered straight to subscribers’ inboxes every day these services provide need-to-know business intelligence in a convenient and easy-to-read format.

www.wealthbriefing.com

WealthBriefingAsia, launched in 2009, is the only wealth management news site focusing exclusively on the Asia-Pacific region.

www.wealthbriefingasia.com

Family Wealth Report - the content as with our other sites comes from both our own dedicated editorial team as well as leading industry professionals, helping subscribers stay on top of all the important developments relating to wealth management, family offices, and the HNW/UHNW sectors in North America.

www.fwreport.com

Compliance Matters is the key source of international news and analysis on the latest regulatory initiatives within the private banking and wealth management industry. Compliance Matters provides readers with exclusive access to expert analysis and advice on how best to operate a business within the legal bounds.

www.compliance-matters.com

Offshore Red is the key monthly source of news and analysis relating to international tax, trust and regulatory developments, with unique access to a highly-qualified group of experts specialising in tax planning, legal and financial services.

www.os-red.com

WEALTH MANAGEMENT & PRIVATE CLIENT EVENTS & AWARDS SERIES

An unrivalled thought-leadership platform, WealthBriefing’s events foster intellectual debate on the challenges and opportunities facing the industry and are designed to be an optimal use of wealth managers’ precious time; they represent an excellent networking opportunity and attendees also accrue valuable CPD hours. WealthBriefing has added to its offering for the global private banking and wealth management communities by running six annual awards programmes for the private investment and private client communities. The awards programmes are focussed around three main category groupings: experts (individuals and teams); products and services for wealth managers and clients, and institutions of all sizes and types.

BESPOKE RESEARCH SERVICES

WealthBriefing has unrivalled access to the most senior wealth management professionals across the globe, meaning that our research reports represent guides to future best practice as much as being barometers of current industry trends.

© 2016 ClearView Financial Media Ltd, Heathman’s House, 19 Heathman’s Road, London, SW6 4TJ, UK / Tel: +44 (0) 207 148 0188 [email protected] / www.clearviewpublishing.com / VAT Reg No: 843 3686 09


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SPONSORS

ABN AMRO Private Banking is a modern private bank, interna-tionally present and locally involved. We achieve this through a strong multi-domestic private banking model that includes prestigious private banks such as ABN AMRO MeesPierson in the Netherlands, Bethmann Bank in Germany and Neuflize OBC in France. We have a leading position in Europe and a solid presence in Asia.

Our clients receive a full range of banking, financial & estate planning, and investment services and products. We continu-ously work to engage with the changing needs of clients to provide distinctive financial solutions, agile services and pru-dent risk management. We serve over 100,000 clients through 53 domestic and international branches, and our clients have entrusted EUR 209 billion of their assets to us.

We are the leading private bank in the Netherlands, ranked third in Germany and fourth in France. We are also among the top three private banks in the Eurozone, top seven in Europe and top twenty in Asia.

ABN AMRO Private Banking is backed by the strength of the ABN AMRO Group, a global banking group.

Appway empowers the service industries to move beyond automation toward ongoing digital transformation. With its toolsets, leadership, community, and methodology, Appway enables companies to revolutionize their business models, processes and moments. Appway’s Digital Business Platform gives organizations the power to develop and operate scalable and reliable digital enterprise applications. The comprehensive platform coordinates all relevant interactions in a collaborative digital workspace and delivers key business insights, inspiring companies to turn their visions into running solutions. With its seamless orchestration of people, knowledge, and systems, Appway promotes collective intelligence and enables businesses to reinvent for the digital age.

In an era of increasing competition and regulations, Appway, the leader in global client onboarding, works with 4 of the top 5 wealth management institutions. Headquartered in Zurich with offices in Geneva, Ticino, New York, Toronto, Hong Kong, and Singapore, Appway and its award-winning technology serve over 165 service institutions and 420,000 individuals worldwide.

About Appway Client Onboarding

Appway is the global leader in client onboarding for the financial services industry. In an era of soaring global competition and increased regulations, Appway Client Onboarding boosts efficiency, assures legal and tax compliance, and guarantees outstanding client experience. Flexible and agile, Appway’s award-winning Client Onboarding empowers financial institutions to adapt quickly to external pressures and create high-quality digital experiences.

BNP Paribas Wealth Management encompasses BNP Paribas’ private banking activities, catering to a portfolio of wealthy individuals, shareholder families and entrepreneurs seeking a comprehensive range of services to satisfy all of their wealth management and financial needs.

This comprehensive approach is based on a high value-added offering that includes:

• wealth planning services;• financial services: advisory services in asset allocation, selection of investment products, discretionary portfolio management;• customized financing; • expert diversification advice: vineyards, artwork, real estate and philanthropy.

BNP Paribas Wealth Management is structured to assist customers in different markets. In Europe (in France, Italy, Belgium and Luxembourg in particular), in the United States and in some high-growth potential countries, the development of the private banking business is backed by BNP Paribas’ retail banking networks.

In Asia, a high-growth region, the private bank is supported by the Bank’s historic presence in the market and by Corporate and Institutional Banking to meet the most sophisticated needs. With its presence in international markets, Wealth Management is also a key player in some emerging markets.

With €327 billion in assets under management and more than 6,600 professionals, BNP Paribas Wealth Management was recently ranked in 2015 “Best Private Bank in Europe”, “Best Private Bank in North Asia” and “Best Private Bank in United Sates - West”.


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SPONSORS

Platform Securities is a leading provider of value-added outsourced clearing and settlement services. Our products have specifically been designed to meet the needs of discretionary and advisory wealth managers, retail and institutional brokers, banks and fund managers. Platform Securities supplies a comprehensive business process infrastructure to handle portfolio management, order management, execution, settlement, custody (for both offshore and onshore clients) and administration.

Our clients benefit from significant cost and operational efficiencies by outsourcing some or all of their back office operations to Platform Securities. While typically outsourcing all operational and client money responsibility, clients receive a tailored operating platform designed to meet their specific front office needs.

We pride ourselves on delivering a flexible, responsive and professional service that allows clients to evolve their own proposition in a direction and at a pace that is ideal for them. This includes the production of all customer report packs in their own brand, a menu of front office user tools so they receive the latest available without unnecessary clutter, and technology from one of the world’s most innovative companies.

Platform Securities takes a partnership approach to client relationships, fully embracing their specific business model in order to take responsibility for the areas outsourced to us. We continually update our systems and service offerings to reflect the latest regulatory and market changes, relieving our clients of this costly and time consuming burden.

Because we are specialists in outsourced clearing and settlement, offering unrivalled depth of functionality and service, our clients can rely on Platform Securities to manage their mission critical processes, empowering them to focus on their core business. Our range of outsourced clearing and settlement services are proven at many of the UK’s leading financial institutions.

Platform Securities is an authorised ISA Plan Manager.

The ProFundCom marketing cloud platform focuses your sales team on raising AuM and your IR team on preserving AuM. It does this by tracking interest (or lack of) via fact sheet, newsletter and website readership. It then takes this information and delivers it to the inbox of the responsible individual within your organisation.

ProFundCom helps sales teams in financial organisations to identify sales opportunities when prospects and investors engage with Fund Reports, Newsletters, and other information that they send out or with your website or your social media channels. This helps your sales and marketing teams to spot early buying signals from potential clients as well as cross-selling opportunities and alerts sales teams to act through reports being automated and delivered at specified times.

We are able to do this because the ProFundCom system has been built using expertise and best practise from within the financial services industry. ProFundCom assists you with identifying subtle trends in your clients and prospects behaviours. ProFundCom integrates with industry leading CRMs like Salesforce.com and Microsoft Dynamics as well as industry specific CRMs. ProFundCom has presence in New York, London and Geneva and has over 300 users of the platform and provides exceptional 24/7 service and support.

ProFundCom has also developed its own AppStore. Using the ProFundCom AppStore, customers can access a variety of tools designed to save time and increase the functionality of the platform. The App Store gives clients of ProFundCom the ability to add and remove functionality based on their workflow and requirements. A number of 3rd party companies have released apps for the ProFundCom App Store including Microsoft, Salesforce and Oracle.

ProFundCom complies and exceeds the guidelines from the Securities and Exchange Commission and the Financial Conduct Authority in relation to Data Retention, Archiving, Document Security and Hosted Environment.


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SPONSORS

A semantic engine for KYC and AML due diligence

Getting a full picture of potential clients - both individuals and business entities - is becoming increasingly hard for the private client world. But now a solution is at hand. smartKYC has ap-plied innovative design and technology to redefine how KYC searches and identification of AML red flags are conducted.

Applying semantic technology, federated searches and intelligent techniques to minimise false positives, the smartKYC AML suite increases precision, efficiency and auditability of your KYC and AML efforts.

Compliance rules and regulatory pressures have increased dramatically in the last few years and within that environment, the pressure to Know Your Customer and to be clear about exactly who you’re dealing with as clients is greater than ever.

There is a second source of pressure on firms - and that’s comingfrom the clients themselves. They want everything done quickly, efficiently and seamlessly.

These two simultaneous pressures - both from the regulators and from the clients themselves (often compounded by a third pressure to do everything more cost-effectively) are causing considerable pain.

The bad news is that this is not going away. It will only increase over the coming months and years.

The good news is that this environment provides a fantastic opportunity for individual firms to STAND OUT against their competitors. There is a wonderful chance to change the game. Some firms will struggle and fall; others will thrive and will grow significantly.

As one AML compliance officer said: “We could be asked to boil the ocean to find customers doing something bad.”

Well - our job is to take the ocean-boiling task away from you and provide everything you need to quickly and effectively run KYC checks on your clients, so that you can get on with the job of managing their wealth for them.


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SPONSORS

This is S&P Capital IQ’s Money Market Directories (MMD) 46th year as the premier provider of information on the institutional investor industry.

Global. Comprehensive. Essential. The MMD databases provide comprehensive data on global institutional investors, including information on pension funds, endowments, foundations, family offices, sovereign wealth funds, private banks, consultants and investment managers; and also provides daily institutional search and mandate alerts and tracking. Available through MMD WebAccess, firm profiles include professionals with contact and specialty details, asset size, asset allocation across all investment styles, areas of investment interest, engagements with institutional management firms, and more.

Perform focused prospecting for targeted marketing campaigns. Fully searchable and exportable, MMD WebAccess allows searches on a number of criteria with the ability to extract the data into a spreadsheet for marketing purposes.

MMD WebAccess provides global information on:

• single and multi-family offices and their service providers • pension funds, endowments, foundations, sovereign wealth funds, private and reserve banks • institutional searches and mandate data • investment advisers • consultants Identify new opportunities. For details on how you can receive a free trial of MMD WebAccess, please email [email protected] or call +1.434.977.1450 (US), +44.207.176.3449 (UK) or +852.2532.8020 (HK).

Visit www.mmdwebaccess.com.


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JUDGING PANEL

AUSAF ABBASManaging DirectorCoombe Advisors

Ausaf Abbas is managing director of Coombe Advisors, a company he founded to provide strategic, business and financial advice with a focus on the wealth management industry and growth strategies. Prior to that, Ausaf had a 25-year career at Merrill Lynch and Morgan Stanley, where he held various senior management

positions in investment banking and wealth management.

His international experience includes 13 years based in Hong Kong, Singapore and Tokyo, and extensive experience managing wealth businesses across the MENA region. Ausaf’s interests include acting as NED of Multrees Investor Services and Silicon Net-works, senior advisor to Brookland Partners and Secondcap and serving as a director of a charity.

PAUL AYRESPartnerBDO

Paul joined BDO in 2000 and has worked in private client services for BDO since he joined, becoming head of the London private client team in July 2011.

He is a partner within BDO’s London tax group and advises in respect of all private client related tax matters but with a

particular specialism in advising clients on their residence and domicile positions.

Recognised as one of the most influential individuals in the wealth management industry, Paul is also is a member of the Society of Trust and Estate Practitioners.

ERIC BARNETTChief ExecutiveSociete Generale Private Banking Hambros

Eric Barnett became chief executive of Societe Generale Private Banking Hambros in September 2007. Since then he has focused on the development of the firm’s onshore business in the UK and on key strategic international segments such as the French, Indian, Russian, Middle East and Greek markets. He is responsible for

developing the group’s commercial and marketing strategies and oversees its private banking activities as well as managing the day-to-day running of the London office. Eric is also a member of the Societe Generale Private Banking executive committee, with supervisory responsibility for the Middle Eastern and Monaco business. Before assuming his current role, Eric was group head of private banking and managing director of the London office at SGPB Hambros.

JUDGING PROCESS

The 2016 awards programme was focused around three main category groupings: experts (individuals and teams), products and services for wealth managers and clients, and institutions of all sizes and types in the European market.

Independence, integrity and genuine insight were the watchwords of the judging process with the judging panels made up of some of the industry’s top trusted advisors and bankers.

The judging took place in two parts. A meeting was convened to identify a shortlist from hundreds of entries received for these awards. This was followed by a further round-table discussion to agree the winner for each category.

The judges were split into groups, dependent on their industry; so trusted advisors were responsible for judging the private banking categories and private bankers judged the trusted advisor categories. This was to ensure that commercially sensitive information was kept confidential and conflicts of interest were avoided.


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JUDGING PANEL

PHILIPPE BONGRANDPartner, Wealth ManagementOliver Wyman Financial Services

Philippe Bongrand is a partner at Oliver Wyman Zurich, from where he serves exclusively wealth managers and private banks on growth and transformation issues.

He has 20 years of both industry and consulting experience for wealth managers. Prior to joining Oliver Wyman, Philippe was

at UBS Wealth Management in Zurich for seven years in charge of global functions such as strategy, business development, sales force effectiveness and marketing.

Philippe started his career at Paribas within the internal risk audit (“Inspection - Generale”) function and worked at Booz and The Boston Consulting Group, where he was principal in charge of wealth management.

ROSALYN BREEDYPartnerForsters

Rosalyn Breedy is a partner in Forsters corporate and financial services practice, specialising in advising trust companies, family offices, fund managers and entrepreneurs.

Rosalyn has been noted for her incisive ability to interpret overlapping cross-border

corporate and financial services laws. She enables clients to effortlessly achieve their strategic goals. With an international client base, Rosalyn provides clients with a uniquely holistic approach to the legal aspects of structuring, business advisory and regulatory compliance.

Rosalyn writes regularly on financial regulation and private wealth matters.

TOM BURROUGHESGroup EditorWealthBriefing

Tom Burroughes is group editor of ClearView Financial Media, publisher of WealthBriefing, WealthBriefingAsia and Family Wealth Report. Tom has worked at ClearView since 2008, reporting on news stories, interviewing industry leaders, writ-ing features and comment pieces, and has spoken at conferences in London, Guernsey

and Vienna, among other locations. He has discussed the industry’s issues on Reuters television and the BBC.

Previously, Tom was wealth management editor of The Business, the weekly UK maga-zine run by the Telegraph Group, from 2007 to 2008. Before that, he was a correspond-ent in various roles at Reuters, the global newswire. Between 1994 and 2000, he was a reporter for Market News International, a New York-headquartered newswire.

JAMES CAMPBELLPartnerBedell Cristin

James is a partner at Bedell Cristin. He advises professional trustees and intermediaries in the Channel Islands, Geneva and internationally on all aspects of Jersey trust law to include the settlement, ongoing operation and restruc turing of trusts. James further advises on all related company and commercial law issues.

James is co-author of the recently published “Guidelines for Jersey Directors” published by the IoD and is a regular speaker at seminars and conferences. James is ranked as a “leading lawyer” by the Legal 500 2014 directory where they say he is “the standout trust lawyer of his generation in the island”. The Chambers 2015 directory states that James “provides coherent, competent, concise and clear advice on what can be extremely technical issues” and includes James in their “leaders in their field” listing.


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JUDGING PANEL

SEBASTIAN DOVEYManaging Partner and Co-FounderScorpio Partnership

As managing partner and co-founder of Scorpio Partnership, a firm that is a pre-eminent strategic R&D business hub of the global wealth industry, Sebastian manages the development and execution of strategic recommendations surrounding marketing, client journey, business development, brand, M&A and business

efficiency in wealth companies. Starting the company in his mid-twenties Sebastian and his partners have advised companies on how to (profitably) delight them during the client journey ever since. The firm has studied the financial habits of the rich globally since 1998 and has worked with more than half of the world’s largest financial services brands among its more than 150 institutional clients.

WILLIAM DRAKECo-Founder Lord North Street

Co-Founder of Lord North Street Private Investment Office, and recently appointed vice chairman of Sandaire, William Drake is involved in all areas of the business, includ-ing direct responsibility for client families.

A barrister and US attorney, William worked in the investment and corporate finance

business from 1979 at Kleinwort Benson and Granville before establishing Lord North Street in 2000.

He has advised public and private companies and their owners, on a wide range of matters. He is an experienced participant in investment committees, a non-executive director and chairman.

MARK HUSSEINGlobal Head of Commercial Insurance and InvestmentsHSBC

Mark Hussein re-joined HSBC in April 2011 and was appointed to spearhead the strat-egy for global commercial insurance and investments. Mark left the group in 2007 to join Kleinwort Benson as head of private wealth management UK and the Channel Islands. He was a member of the Kleinwort

Benson group regional executive committee and sat on the board of Kleinwort Benson Trustees. Mark’s responsibilities included the expansion and strategic development of the organisation’s private wealth management business from its London hub and network of regional offices. Mark also had responsibility for the international PWM and private fiduciary business.

Prior to joining Kleinwort Benson, Mark spent 13 years with the HSBC Group.

PENNY LOVELLManaging Director, Head of Private Client ServicesClose Brothers Asset Management

Penny Lovell joined Close Brothers Asset Management in 2012 as head of private client services, and was appointed to oversee the Client Service, Marketing and Business Development teams in 2014.Penny has over 20 years’ experience advising private clients, families and

charities and sits on the board of multiple charities. Previously Penny managed the sports and entertainment team at Coutts after which she joined Fleming Family and Partners as a Client Director with responsibility for philanthropy, family office and business development. She was voted Citywealth Woman of the Year in 2011/12 and won the Wealthbriefing European Award for Women in Wealth Management in 2014.


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JUDGING PANEL

KEITH MACDONALDPartner, Head of Wealth and Asset Manangement AdvisoryEY

Keith MacDonald is a partner in EY’s global financial services practice, where his responsibilities include leading the EY wealth management advisory business in the UK and EMEIA. He has led a wide range of strategic and transformational pro-grammes across the industry, UK and

internationally. He leads EY’s service development and thought leadership in the wealth management and private banking sector, and is a regular contributor to conferences and publications.

Prior to returning to EY Keith was Vice President of Cap Gemini Ernst & Young, running the banking consulting business. From 2003 to 2010 he led Capco’s retail/corporate/wealth practice.

MARNIN J MICHAELSPartnerBaker & McKenzie Zurich

Marnin Michaels has been practicing for more than 15 years in the areas of tax and international private banking. He also handles insurance matters, particularly as it relates to tax investigations and wealth management. Marnin has written extensively for many international publications and focuses his practice on

international estate planning and taxation of trusts for families with connections in the US. He counsels clients on US withholding tax and qualified intermediary rule, as well as money laundering avoidance legislation. Marnin is also the author of “International Taxation – Withholding 2014/15” and “International Estate Planning”, both pub-lished by Thomson Reuters.

PETER MURLEYDirectorInnobridge

Peter established Innobridge, a manage-ment consultancy, on retirement after four years as CEO of Jersey-based wealth struc-turing business Hawksford Group in March 2014. He has considerable background in the design and implementation of business transformation programmes and strategic initiatives for major blue-chip, start-up and

existing operations, with wide practical experience of business turnarounds, enterprise acquisition and integration through working with PE. Operating at senior executive level across a range of disciplines, including IT, HR, Customer Service, Marketing and Operations Management, Peter has worked with a number of prominent businesses in the UK, Western Europe, Russia, Middle East, USA, India, South Africa and Singapore.

RICHARD NUNNELEYHead of CharitiesDalton Strategic Partnership

Richard Nunneley spent his early career as a gilt-edged securities and bonds fund manager and analyst with BZW, then spent close to two decades in the British Army before returning to fund management. After a year with Brown Shipley, Richard went on to become a director at Mercury Asset Management and Cazenove Capital

Management. Between 2006 and 2008 he was a director of Singer & Friedlander Investment Management before spending two years with Braveheart Ventures in Perth.

In addition to serving as head of charities at Dalton Strategic Partnership, Richard also works for a major UK-based single family office, is chairman of Impact Investment Partners and sits on the London School of Economics finance committee.


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JUDGING PANEL

ALISON PARRYExecutive DirectorButterfield Trust (Guernsey)

With more than 20 years experience in the offshore fiduciary industry, Alison Parry trained with Coutts & Co before moving to an international bank to lead a team specialising in offshore structures for high value international clients, particularly focusing on North America. Following a secondment to Hong Kong, Alison headed

up the Guernsey fiduciary operation at Barclays Wealth.

Alison joined Legis Group in 2008 to run the trust and corporate services division which was subsequently acquired by Butterfield Trust in 2014. Alison is a fellow of the Institute of Chartered Secretaries and Administrators and a member of the Society of Trust and Estate Practitioners.

JOHN REEDChairmanEFG Private Bank

John Reed has 36 years experience in the financial services industry, over 20 of these at board level. Following his early career with Midland Bank, John spent 14 years with Hambros Bank.

Following the firm’s acquisition by Societe Generale, he became group head of risk,

then group chief operating officer. His last full-time role was as chief executive of private bank Arbuthnot Latham where he subsequently became a non-executive director.

John has held many non-executive director roles, including at Tesco Bank, and today is a non-executive director of five banks and financial services businesses. He recently joined the board of Ford’s in-house bank, FCE Bank.

MIKE REEDManaging Director, Head of International - UKRBC Wealth Management

Mike Reed is managing director, head of international -UK for RBC Wealth Management in London. Mike leads a team focused on ultra-high net worth UK- connected private clients and oversees the entire international team, including the Americas, Middle East, Continental Europe, family office and global South Asia regions.

Mike started his career in the Canadian financial services industry. He moved to RBC within the financial advisory solutions and wealth management services team, then to become head of affluent and retirement client strategy. As managing director, Mike was responsible for integrating and running RBC Trust Company (Delaware).

NICK PERRYMANManaging DirectorUBS Wealth Management

Nick Perryman deploys 18 years experi-ence in the wealth management sector as a managing director at UBS as head of wealth management, Global Emerging Markets, London. He leads a team of relationship managers and investment advisors covering clients in Central & Eastern Europe, Middle East, Africa, Latin America and Asia-Pacific.

Nick also oversees the firm’s philanthropy team in the UK. Prior to this he was head of investment products & services, UK & Jersey, covering investment management, capital markets, investment funds, alternative investments, banking products, lending and wealth planning – responsible for USD45bn of client assets. Nick joined UBS in 2002, after five years in wealth management at another firm.


20

JUDGING PANEL

TOM SLOCOCKChief Executive, Wealth Management UKDeutsche Bank

Tom Slocock assumed the role of managing director and CEO of Deutsche Bank’s UK wealth management business on 1 March 2009. He joined Deutsche Bank from Credit Suisse where his last role was as the London head of international private banking. Tom joined Credit Suisse as part of the acquisition of Donaldson, Lufkin & Jenrette.

Tom has spent his entire career in the wealth management industry, having previously worked in the private client services groups at Goldman Sachs and Lehman Brothers. His focus has been on working with wealthy and sophisticated UK-based individuals and families, and helping to source bespoke solutions tailored to their specific needs.

MATTHEW SPENCERExecutive Director and Head of IntermediariesCoutts

Matthew Spencer is executive director and head of intermediaries at Coutts, with specific responsibility for developing, managing and coordinating relationships with professional service firms and family offices - an area he has specialised in since 1998.

He joined from Credit Suisse in 2014, where he had worked since 2007 serving as a member of the UK market of the UK market area management team based in Switzerland between 2010 and 2012.

WENDY SPIRESHead of ResearchWealthBriefing

Wendy has written an array of in-depth reports on issues affecting the wealth management industry, including client onboarding, technology and operations trends, client experience, branding and marketing, and risk-profiling methodologies. She has also spoken at high-profile conferences both in the UK and abroad.

Having been a wealth management journalist and a research writer for over six years, Wendy has developed an in-depth knowledge of international wealth management markets and the strategic challenges firms face. She has also carried out several research projects among end-clients, for both internal and external purposes.

IAIN TAITPartnerLondon & Capital

Iain Tait became Partner at London & Capital in 2008 and established their Private Investment Office in 2013.

Iain focuses on the company’s largest private clients and families, specialising in UHNW international clients and non-doms. Iain has built the business centred on the

complex needs of professional international clients. The Private Investment Office aims to complement the risk taken across the clients daily activities with their underlying wealth management objectives

Prior to joining London & Capital, Iain ran his own wealth management business, where he built and maintained a significant high net worth client base made up typically of fellow financial professionals.


21

JUDGING PANEL

JEAN-LOUIS TOURNEChief ExecutiveBNP Paribas Wealth Management

Jean-Louis Tourne’s international corporate banking experience began as a swap trader in New York. His subsequent career has seen him appointed as head of corporate banking at BNP in Los Angeles and Taiwan, and as the firm’s deputy head of wealth management in Singapore. He was subsequently promoted to be head of

wealth management for BNP Paribas in Bahrain before moving to Taiwan and then Greece.

In 2010 Jean-Louis was appointed chief executive of Piraeus Wealth Management, a joint venture between BNP Wealth Management and Piraeus Bank, in 2010.

He moved to London in 2012 to head BNP Paribas/Insinger de Beaufort’s wealth management unit where he is its CEO.

BRUCE WEATHERILLChief ExecutiveWealtherill Consulting

Bruce is a chartered accountant with over 37 years financial services experience, previously a partner in PwC, latterly as Global leader of their Wealth Management practice and the key driver of their bi-annual Wealth Management Report.

Bruce is now CEO of Weatherill Consulting

providing advice on client centricity and wider strategic matters to wealth managers. He is the author of The Value of Trust: the quest by Wealth Managers for Trusted Advisor status and a number of other thought leadership reports.

Bruce is chairman of ClearView Financial Media and a non-executive of a number of companies including Fidelity Holdings UK, The Wisdom Council, ComPeer and JDX Consulting.

IAN WOODHOUSEDirectorPwC

Ian is a leading business transformation advisor to clients in the private banking, wealth and asset management sectors.

With insight into the changing customer, regulatory and technology trends disrupt-ing the industry, he provides new ways of thinking to help his clients understand the

implications for their traditional and new business models, transform their opera-tions and platforms and build the additional capabilities required to succeed.

This ability makes him a valuable partner to deliver results faster, at less risk and in a sustainable way.

Within PwC, he is on the wealth leadership team and has previously held senior roles with IBM and EY.

BNP Paribas Ad


23

AWARD CATEGORIES - SHORTLIST

PORTFOLIO MANAGEMENTWEALTH MANAGEMENT TECHNOLOGY CATEGORIES (open to technology vendors only)

FRONT OFFICE SOLUTION

TRANSACTION PROCESSING SOLUTION

WEALTH MANAGEMENT TECHNOLOGY CATEGORIES (open to technology vendors only)

WEALTH MANAGEMENT TECHNOLOGY CATEGORIES (open to technology vendors only)

IT SOLUTIONS & SERVICES

CLIENT COMMUNICATIONS AND REPORTINGWEALTH MANAGEMENT TECHNOLOGY CATEGORIES (open to technology vendors only)

OUTSOURCING SOLUTIONWEALTH MANAGEMENT TECHNOLOGY CATEGORIES (open to technology vendors only)

FINANCIAL SOFTWARE & DIGITAL SOLUTIONS




Quantstore

Comprehensive outsourcing solutions for the wealth management industry

Trading | Custody | Portfolio Management | Reporting | Offshore Accounts

Find out how we can help transform your business [email protected] www.platformsecurities.com | 0121 233 0336

Platform Securities LLP is a limited liability partnership, registered in England and Wales under No. OC301316. Authorised and regulated by the Financial Conduct Authority (FCA), (FCA firm reference number 214206). Registered office: Kildare House, 3 Dorset Rise, London, EC4Y 8EN.

Platform Securities International Limited is a Limited Company registered under number 116715. Authorised and regulated by the Jersey Financial Services Commission (JFSC) (JFSC firm reference number IB 0291).


25


BEST IMPLEMENTATION OF A TECHNOLOGY SOLUTIONWEALTH MANAGEMENT TECHNOLOGY CATEGORIES (open to technology vendors only)

RISK PROFILING SOLUTION

RISK MANAGEMENT

WEALTH MANAGEMENT TECHNOLOGY CATEGORIES (open to any organisation)

WEALTH MANAGEMENT TECHNOLOGY CATEGORIES (open to any organisation)

bitarisk.B E T T E R I N T E L L I G E N C E T H R O U G H A N A L Y S I S

CRM SYSTEMWEALTH MANAGEMENT TECHNOLOGY CATEGORIES (open to any organisation)

ON-BOARDING WEALTH MANAGEMENT TECHNOLOGY CATEGORIES (open to any organisation)

IT SOLUTIONS & SERVICES

Quantstore

bitarisk.B E T T E R I N T E L L I G E N C E T H R O U G H A N A L Y S I S


27


INNOVATIVE CLIENT SOLUTIONWEALTH MANAGEMENT TECHNOLOGY CATEGORIES (open to technology vendors only)

INNOVATIVE CLIENT SOLUTIONWEALTH MANAGEMENT TECHNOLOGY CATEGORIES (open to financial advisory companies)

BEST PR PROGRAMMEMARKETING / PR CATEGORIES

BEST MARKETING CAMPAIGNMARKETING / PR CATEGORIES Kindly sponsored by

Kindly sponsored by

Quantstore

Cadell + Co

Tilney Bestinvest

SalesForce ad


29


PRIVATE CLIENT LAW FIRMPRIVATE CLIENT CATEGORIES

PRIVATE CLIENT LAWYERPRIVATE CLIENT CATEGORIES

FAMILY LAW LEGAL TEAM – EDITOR’S AWARDPRIVATE CLIENT CATEGORIES

OFFSHORE LAW FIRMPRIVATE CLIENT CATEGORIES

European Law Firm

PENSIONS ADVISOR OF THE YEAR PRIVATE CLIENT CATEGORIES

CS Global Partners

European Law Firm

ANDREW HINE EMMA LEJEUNEMICHA EMMETT

CS Global Partners

European Law Firm

Winner announced at awards dinner.

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Applying semantic technology, federated searches and intelligent techniques to detect false positives, the smartKYC AML suite increases the precision, e�ciency and auditability of your KYC and AML e orts.

A semantic engine for KYC and AML due diligence


31


INDEPENDENT TRUST OR FIDUCIARY COMPANYPRIVATE CLIENT CATEGORIES Kindly sponsored by

SPECIALIST WEALTH/PRIVATE INVESTMENT MANAGER – UNDER £5 BILLION AuMINVESTMENT MANAGEMENT CATEGORIES Kindly sponsored by

SPECIALIST WEALTH/PRIVATE INVESTMENT MANAGER – OVER £5 BILLION AuMINVESTMENT MANAGEMENT CATEGORIES Kindly sponsored by

PHILANTHROPY OFFERINGPRIVATE CLIENT CATEGORIES Kindly sponsored by

INVESTMENT PRODUCT PROVIDERINVESTMENT MANAGEMENT CATEGORIES Kindly sponsored by

ACPI Investments

Institutional relationshipsbegin with MMD WebAccess

Database Includes:

• Pension Plan Sponsors, Endowments & Foundations US | CANADA | UK | EMEA | APAC

• Institutional Searches and Mandate Data

• Consultants

• Investment Managers

• Family Offices and their Service Providers

Begin identifying new opportunities. Have access to contacts and comprehensive data on the key global institutional investor and financial services industry.

Global. Comprehensive. Essential.

Or for a free trial, call:1.434.977.1450 (US)+44.207.176.3449 (UK)+852.2532.8020 (HK)Or visit our website at:www.mmdwebaccess.com


33


ETF PROVIDERINVESTMENT MANAGEMENT CATEGORIES

PRIVATE INVESTMENT OFFICE / MULTI-FAMILY OFFICEINVESTMENT MANAGEMENT CATEGORIES Kindly sponsored by

Kindly sponsored by

PLATFORM PROVIDER – EDITOR’S AWARDINVESTMENT MANAGEMENT CATEGORIES

ALTERNATIVE INVESTMENT MANAGERINVESTMENT MANAGEMENT CATEGORIES Kindly sponsored by



34


UHNW TEAMEUROPEAN PRIVATE BANKING CATEGORIES

OVERALL EUROPEAN PRIVATE BANKEUROPEAN PRIVATE BANKING CATEGORIES

Kindly sponsored by

Kindly sponsored by

BEST PRIVATE BANK – TALENT MANAGEMENTEUROPEAN PRIVATE BANKING CATEGORIES

BEST PRIVATE BANK – CLIENT SERVICEEUROPEAN PRIVATE BANKING CATEGORIES Kindly sponsored by

Kindly sponsored by

WEALTH PLANNING TEAMUK PRIVATE BANKING CATEGORIES Kindly sponsored by


35


UHNW TEAMUK PRIVATE BANKING CATEGORIES Kindly sponsored by

INTERNATIONAL CLIENTS TEAMUK PRIVATE BANKING CATEGORIES Kindly sponsored by

OVERALL UK PRIVATE BANKUK PRIVATE BANKING CATEGORIES Kindly sponsored by

HNW TEAMUK PRIVATE BANKING CATEGORIES Kindly sponsored by


36


LEADING INDIVIDUAL (BANKERS)OTHER WEALTH MANAGEMENT CATEGORIES

LEADING INDIVIDUAL (ADVISORS)OTHER WEALTH MANAGEMENT CATEGORIES

JOHN DERRICK ROB MCINTYRE STEPHANE WATHIERTIM BAILEY

DR NADINE LIA GUY PATERSONDAVID KILSHAW JAMES POWELLEDWARD GOODCHILD

RISING STAROTHER WEALTH MANAGEMENT CATEGORIES

FREDDIE LOWER JAMES MEEDR NADINE LIA DAMIEN PIERRONOLEG DOMOZHIROV

INTERNATIONAL FINANCE CENTREOTHER WEALTH MANAGEMENT CATEGORIES

GLOBAL CUSTODIANOTHER WEALTH MANAGEMENT CATEGORIES

Kindly sponsored by

Kindly sponsored by


37


LIFETIME ACHIEVEMENTOTHER WEALTH MANAGEMENT CATEGORIES

WOMEN IN WEALTH MANAGEMENTOTHER WEALTH MANAGEMENT CATEGORIES

LESLEY HODGSON ANNAMARIA KOERLINGKATHERINE ELLIS SUSAN WARDFARAH BALLANDS

OUTSTANDING CONTRIBUTION TO WEALTH MANAGEMENT THOUGHT LEADERSHIPOTHER WEALTH MANAGEMENT CATEGORIES

Kindly sponsored by


THANK YOUOUR THANKS GO TO THE FOLLOWING FOR ALL THEIR HELP AND GENEROUS SUPPORT:

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GLOBAL AWARDS

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2016

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2016

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2016

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Documents

WealthBriefing AWARDS 2016...Help or Hindrance? The Link Between Technology Provision and Advisor Productivity was premised on the notion that there is a widening gap between the leaders