UCITS IV introduced significant changes to UCITS management companies and to selfmanaged

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2 Dear Fund Industry Professional, The Association of the Luxembourg Fund Industry, ALFI, together with the Luxembourg Association of Risk Management, PRiM, have the pleasure of informing you of the third edition of the: ALFI & PRiM Risk Management Conference Wednesday, 18th April 2012 at the Luxembourg Chamber of Commerce, Kirchberg, Luxemburg UCITS IV introduced significant changes to UCITS management companies and to selfmanaged SICAVs. In particular through the UCITS IV Implementation Measures and the CSSF Regulation 10-04, new MIFID-like requirements on internal controls and risk management have been defined. This year, the morning sessions will deal with the lessons learned on liquidity management, disclosures, KIID, and stress testing, depository risk and liability and the new risk governance framework. The afternoon will cover topics such as the regulatory interaction between UCITS IV, AIFMD and MiFID II in terms of risk management and investor protection and risk management considerations under AIFMD and applicable to SIFs. One session will focus on Hong Kong s view on risk management and disclosures. The day will finish with a panel discussion on an inside/outside view of risk management. Please find enclosed the conference programme and the registration form. We are offering our members a special attendance fee starting at the early bird rate of 300 for payments made by 16 March The early bird non-member rate is 550. We hope to have the pleasure of welcoming you to the conference where you can share experiences and get up-to-date with the latest developments and techniques in risk management. Yours sincerely Camille Thommes Director General, ALFI Marco Zwick President, PRiM

3 Registration & breakfast Welcome Marc Saluzzi, Chairman of ALFI Marco Zwick, President of PRiM Chairperson s introduction Jean-Christoph Arntz, CEO, Allianz Global Investors Luxembourg S.A UCITS IV: lessons learnt (e.g., liquidity, disclosures, KID, ) Moderator: Olivier Carré, Partner, PwC Luxembourg Nathalie Dogniez, Partner, Head of Investment Funds, KPMG, Luxembourg Christel Müller, Conducting Officer, UBS Fund Management, Luxembourg Ana Vazquez, Head of Fund Structuring & Domicile, CACEIS Bank, Luxembourg Ian Davies, Head of Emerging Risk, Schroders Investment Management Limited, London Refreshment break UCITS IV: Stress testing (presentation of the latest status by ALFI WG) Laurent Denayer, Partner, Business Advisory Services, Ernst & Young, Luxembourg Bastian Wagner, Risk Officer, Deka International, Luxembourg Depositary risk and liability Ian Barnes, Executive Director, Depositary Bank, J.P. Morgan Luxembourg UCITS IV: Risk governance and framework (presentation of the output by the ALFI WG) Daniela Klasén-Martin, Managing Director, DCG S.A., Luxembourg Graham Goodhew, Chairman, ALFI Operational Risk Sub-committee Buffet lunch

4 Afternoon Session Chairperson s introduction Marco Zwick, Global Head of Compliance, Schroders Investment Management, Luxembourg Regulatory interaction between UCITS IV, AIFMD AND MiFID II in terms of risk management and investor protection Giles Swan, Director of Global Funds Policy, ICI Global Risk management considerations under AIFMD and for SIFs Moderator: Christoph Adamy, Head of Risk Management, Allianz Global Investors Luxembourg Luc de Vet, Managing Director, Citco Fund Services, Luxembourg José Maria Ortiz, Managing Director, ECE Real Estate Partners Sarl., Luxembourg Xavier Zaegel, Partner, IMS, Deloitte S.A., Luxembourg Refreshment break Hong Kong s view on risk management and disclosures Eleanor Wan, Chief Executive Officer, BEA Union Investment Management Limited, Hong Kong Panel discussion: An inside and outside view on risk management Moderator: Marco Zwick, Global Head of Compliance, Schroders Investment Management, Luxembourg Eleanor Wan, Chief Executive Officer, BEA Union Investment Managment Limited, Hong Kong Alain Hoscheid, Conseiller de Direction adjoint, Commission de Surveillance du Secteur Financier, Luxembourg Thomas Nummer, Managing Director, Carne Global Financial Services, Luxembourg S.A. Giles Swan, Director of Global Funds Policy, ICI Global Closing Remarks Closing drink

5 VENUE: Luxembourg Chamber of Commerce, 7, Rue Alcide de Gasperi Luxembourg Kirchberg PARKING: For a detailed access plan please click here. REGISTRATIONS: Registration is managed by Parthen R&S. For any requests concerning your registration, please contact: PARTHEN R&S REGISTRATION OFFICE P.O. Box 25, NL AA Amstelveen, The Netherlands Phone: , Fax: registration@parthen.nl CONFERENCE FEES: Please refer to the registration form. The conference fee includes full access to the booked conference sessions and lunch for one delegate. The fee does not include travel or hotel accommodation. HOTELS: For special room rates at our partner hotels, please click here. For other hotels and/or tourist information you may visit ORGANISER: ALFI Association of the Luxembourg Fund Industry Phone Fax: , rue Erasme - L-1468 Luxembourg, Contact: ALFI Events Team; events@alfi.lu For more details, such as an updated programme, hotel and other information, please refer to -conference section.

6 Your registration is valid for one delegate only. CONFIRMATION AND PAYMENT: An confirmation will be sent upon receipt of registration. The invoice and conference information will be sent by . Conference fees must be paid prior to the event. Full pre-payment or a credit card guarantee is required. See fees, vat legislation and payment options page. EARLY BIRD RATE: is only applicable if your payment is made by Friday, 16 th March After this date, the normal fee applies. CONFERENCE ATTENDEE LIST: Registrations received by Friday, 30 th March 2012 will be listed on the printed delegates list given to all attendees. NAME CHANGES/ SUBSTITUTIONS: Please send a written notice to the Registration Office PARTHEN (registration@parthen.nl) by Friday, 30 th March 2012 in order to have the correct name appear on the printed delegates list. The conference registration is for one specific delegate only. Part-time substitution is not possible. CANCELLATIONS: Must be made in writing to the Registration Office PARTHEN (registration@parthen.nl). If the cancellation is received by Friday 30 th March 2012, reimbursement of the registration fee, minus a 50 handling charge will be made. For cancellations received after this date, or if registrants fail to attend, the full cost is due and no refund will be made. LATE REGISTRATIONS: Registrations made after Friday, 30 th March 2012 are welcome (subject to availability), but will not be listed on the printed delegates list. A credit card guarantee is required as the full fee is due upon receipt of your registration number.

7 Fees* Non-Member ALFI & PRiM Members *** Early bird rate ** Normal rate Early bird rate ** Normal rate * Fees are subject to 3 % VAT ** Early bird rate for registration payments made by Friday, 16th March *** In order to benefit from the member rate, the invoice has to be addresssed to the member company. VAT Legislation as from 1 January % VAT applies to all registrations Please complete the VAT Number section according to one of the following options: For companies within the EU: 1) For registrations from a VAT registered company it is mandatory to provide a VAT number (for reporting purposes) in order to process your registration. 2) For registrations from companies that are not VAT registered - please mark 'N / A' in the VAT number section/field. For companies outside the EU: 3) For registrations received from all companies outside the EU, it is not mandatory to provide your VAT number, but please mark 'Non EU' in the VAT number section/field. Conference fees must be paid prior to the conference. All payments are to be made in Euro. Please quote name, company and invoice number for each attendee. 1) By bank transfer to the following bank account: ING Bank Luxembourg - 52, Route d Esch - L Luxembourg Account holder: BIC/Swift Code: Stg. Parthen R&S Derdengelden CELLLULL Account number: IBAN LU ) By Credit Card: Please register online and choose the credit card payment option. For registrations by fax who wish to pay by credit card, please contact the registration office Parthen, details on previous pages. Invoice address: An invoice will be ed to you. 3% VAT will be applied to your registration.

8 Register online! Save 10 per registration! * Group reservations and special group rates: please contact Parthen (contact details below) PLEASE COMPLETE IN BLOCK CAPITALS First & Last Name: Title, Department: Company: Street: ZIP-Code, City: State/ Country: for confirmation: Phone: Fax: Remarks: Mr. /Ms FEES and VAT legislation: Please refer to the registration conditions. Important: In order to benefit from the member rate, the invoice has to be addressed to the member company. Completing the VAT field is mandatory (see fees & VAT legislation page). The VAT number provided must be that of the company to be invoiced. Invoice address: Company: VAT number: Mandatory ALFI / PRiM member (please check, if applicable) Street: ZIP-Code, City: State/ Country: for sending invoice: I herewith register for the ALFI & PRiM Risk Management Conference on 18 th April 2012 and confirm that I have carefully read and accept the registration information set out in this document. Date: Signature: Please return to: Registration office - Parthen: FAX: registration@parthen.nl Registration office - Parthen: FAX: For any requests concerning your registration please contact: PARTHEN R&S, PO Box 25, NL-1180 AA Amstelveen PHONE: FAX: registration@parthen.nl

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