Edinburgh Roundtable 2012

Governance and Risk Regulation in Investment Funds

Wednesday, 18 April, 2012

8:30 - 11:00 AM
The Balmoral, 1 Princes Street, Edinburgh

The Institutional Investor Educational Foundation (IIEF) and the University of Glasgow School of Law are sponsoring a roundtable discussion of some of the most pressing governance issues affecting institutional investors.

This intimate gathering will bring together institutional investors, issuers, academics, regulators and their advisors – chosen for their diversity of perspectives and experience. Attendance is by invitation only.  To nominate a participant, e-mail: roundtable@iief.org

Registered Attendees:
Visit our Members Only section to download workbook materials

Discussion Topics:

•  The fund-investor relationship: risk and disclosure
•  Emerging trends in UCITS product and portfolio regulation
•  Emerging trends in distribution: the RDR and beyond
•  Innovation and risk: the case of ETFs
•  The international dimension of UK funds
•  The future for alternative funds: AIFMD and its consequences

Moderator: Professor Iain MacNeil

Professor MacNeil is the Alexander Stone Chair of Commercial Law at the University of Glasgow School of Law, appointed in 2005.  He is a graduate of the Universities of Glasgow (LLB) and Edinburgh (PhD).  Prior to entering the academic world (in 1993) Iain trained and worked as an investment analyst in the City of London, first with SG Warburg Securities (now part of UBS) and then as a Director of County Natwest. His specialist field was the insurance sector. While engaging in global research and marketing to institutional investors, he gained experience of IPOs and capital-raising in the equity market.

After leaving the City in 1991, Iain completed his PhD at the University of Edinburgh on ‘Insurance regulation and contract law in the Single European Market’. At the same time he took up a position as a lecturer at the University of Aberdeen, teaching courses in contract, general commercial law and capital markets regulation.

At the University of Glasgow, Iain is the Director of the LLM Programme in Corporate & Financial Law and delivers courses on corporate governance and financial regulation in the Departments of Accounting & Finance and Economics. From 2008-2011, he was an Adjunct Professor at the Centre for Applied Philosophy and Public Ethics, the world’s largest centre for applied philosophy based at the Australian National University in Canberra.

Outside the university, Iain is an active member of the Securities Regulation Committee of the International Law Association. He is the general editor of the Law and Financial Markets Review (Hart Publishing) and a member of the editorial board of the Capital Markets Law Journal (OUP). In February 2011 he was appointed to the Law Panel of the government-sponsored Research Evaluation Framework (REF), which will review research output across all UK universities during 2008-2013 for the purposes of public-funding allocations. Iain is a regular visitor to Hong Kong and China. In March 2009 he visited as the 9th CoSIG (Corporate and Securities Interest Group) visiting scholar. He provided seminars for the legal and accounting professions in Hong Kong, the HK Securities and Futures Commission and the People’s Bank of China (the PRC Central Bank in Beijing).

Iain is the author of many publications on corporate governance and financial regulation. His recent publications include:

  • The Future of Financial Regulation, edited with J O’Brien, Hart Publishing (2010)
  • 'Activism and collaboration among shareholders in UK listed companies' 5(4) Capital Markets Law Journal 419-439 (2010)
  • ‘The Trajectory of Regulatory Reform in the UK in the Wake of the Financial Crisis’ 11(4) European Business Organization Law Review 483-526 (2010).


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