CFA Society Melbourne

Lunchtime Presentation | Investment Manager Due Diligence and operational Considerations – 26 August 2015

CFA Society of Melbourne invites you to a lunchtime presentation:

“Investment Manager Due Diligence and Operational Considerations”, by Craig Roodt, Australian Prudential Regulatory Authority (APRA)

The presentation will focus on due diligence requirements under the APRA Prudential Standards, and cover implementation considerations to address relevant aspects of investment managers across different asset classes and approaches.

Craig will be joined by Fiona Trafford-Walker, Frontier Advisors and James Oliver, Deloitte Touche Tohmatsu for the Q&A session.

Date:  Wednesday, 26 August 2015
Time:  12.30pm till 2.00pm (a light lunch will be provided)
Where:  Deloitte, Level 11, 550 Bourke Street, Melbourne
Cost:  $15 CFA members, $25 Q Group/Actuarial and $35 non-members
RSVP: Friday, 14 August 2015

To register for this event, please click here.

For any enquiries, please contact Emma Phillips at

Craig Roodt

Craig is the Head of Investment Risk with responsibility for the assessment of investment, liquidity and balance sheet risk at insurers and superannuation funds. In this capacity, Craig leads the team that reviews regulated entities to assess their practices and risk management in these areas, provides guidance and training within APRA, and contributes to APRA’s policy development. Craig was involved in the authorship of the APRA/ASIC Good Practice Guide to Unit Pricing, SPS 530 and the investment PPGs. Craig is a member of APRA’s Superannuation Committee, and is a member of the executive committee of the Australian Chapter of the Chartered Alternative Investment Analyst Association.

Fiona Trafford-Walker, Director of Consulting, Frontier Advisors

Fiona is one of the world’s most respected investment consultants. As Director of Consulting, Fiona is responsible for overseeing the firm’s investment consulting deliverables and provides advisory services to clients herself. Prior experience includes working in asset consulting with Towers Perrin and completing econometric modelling for Queensland Treasury. In 2014 Fiona was ranked number 4 in the world’s top 25 most influential investment consultants by global finance journal aiCIO. In 2013 she received the Woman of the Year title in the inaugural Money Management Women in Finance awards.

James Oliver, Partner, Deloitte Touche Tohmatsu

James provides assurance and advisory services to the wealth management industry, with a particular focus on superannuation, funds management and investment administration sectors.  James has been involved in the development of the GS 007 and ASAE 3402 frameworks which is one of the primary ways that asset managers and custodians report on their operational controls to their clients. He conducts an annual survey of these reports, which over several years has become an invaluable database of operational controls implemented and provides a history of operational errors and control failures that have been identified