The Strategic IRO: Roadshow Roadmap Post-MiFID II

April 4, 2019 05:30 PM
 Domain 1:
IR Strategy Formulation
 Domain 4:
Marketing and Outreach
 Domain 8:
Capital Markets

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MiFID II: Corporate Access Point-Counterpoint – Views from the Buy and Sell-Side

The EU’s updated Markets in Financial Instruments Directive (MiFID II) is now in effect, requiring institutional investors doing business in Europe to pay separately for trading and research. Investors still rank meetings with management at the top of their list for how they make investment decisions, and the new regulations are already having meaningful impact on the way US public companies are engaging with investors both here and abroad. The experts on our panel from the buy-side and sell-side are in the trenches, creating new business models, and implementing policies and procedures to ensure appropriate and effective issuer-to-investor interactions. We will discuss the latest trends in sell-side research, corporate access, trading, institutional investing and effective investor relations.

Learning Objectives:

  • Learn what the buy-side is looking for from IR teams and how to best engage with some of the world’s largest asset managers;
  • Understand how the sell-side is implementing new procedures to accurately respond to MiFID II while also maintaining their role as a critical intermediary between issuer and investor;
  • Learn how the landscape is changing (including less research coverage) and gain insight into how IROs can leverage the evolving ecosystem to make the best use of their and management's time to generate the highest possible IR ROI;
  • Think about the new MiFID II rules and debate the longer-term implications for issuers, investors, capital markets stakeholders and IR practitioners.


Speakers/Panelists:

  • Opening remarks: Michael Barnes, Principal, Financial Services Regulatory practice, Ernst & Young

    Michael Barnes is a Principal in Ernst & Young’s Financial Services Regulatory practice. He has over 15 years of industry and consulting experience. During that time, Michael has assisted clients in performing strategic assessments related to US and global regulation as well as the design and implementation of compliance programs. His clients have included global financial institutions and US Regulators.

    Michael’s industry experience includes his time as a Vice President in the Legal and Compliance Department at PIMCO, where he oversaw the compliance programs for PIMCO’s Advisory and the Managed Accounts businesses as well as equity trade support and global regulatory reporting. He was also a securities compliance examiner with the SEC, where his responsibilities included routine and cause on-site inspections of investment advisers, investment companies, variable insurance products, related broker/ dealers, and transfer agents. Michael has a BA, Economics from Arizona State University and an MBA, Finance from Drexel University.

  • Sarah Regan, Head of Corporate Access for U.S. Equity, T. Rowe Price

    Sarah Regan is Head of Corporate Access for U.S. Equity at T. Rowe Price. In this role, Sarah is responsible for establishing and managing in-house corporate access solutions to positively impact the investment research process. Sarah is also focused on originating access to corporate management teams and, in partnership with the investment professionals, finding opportunities to innovate events around the investment professionals’ research and ideas. She is also responsible for building on and fostering new corporate relationships to best educate companies on T. Rowe’s global funds and ensure proper connectivity between the firm’s investors and the management teams they engage. Prior to joining T. Rowe Price, Sarah was Head of Consumer, Energy & Industrials Corporate Access at Cowen & Company and a Vice President at Bank of America Merrill Lynch within their Corporate Access unit. Sarah also worked at Sloane & Company, a corporate communication, crisis management and investor relations firm based in New York. She earned a B.A. from the University of Virginia. Sarah chairs the Shadwell Society’s “Speaker Series”, Jefferson Scholars at the University of Virginia.

  • Darcy Volpe, Head of Corporate Access Solutions, BlackRock

    Darcy Volpe is Head of Corporate Access Solutions for BlackRock. She joined in May 2018 from Barclays where she was the Head of Corporate Access. Prior to Barclays, Darcy was the Head of Corporate Access Asia Pacific at Bank of America Merrill Lynch, residing in Hong Kong. From 1998-2008 she was the Global Head of Roadshows for Lehman Brothers, responsible for building out teams in Japan, Hong Kong and India. She earned her BA degree in Communications from the University of South Florida and has her Series 7, 63 and 24.

  • Mitchell Schacher, Executive Director, UBS and Head of Corporate Access, the Americas

    Mitchell Schacher is an Executive Director at UBS and Head of Corporate Access in the Americas where he advises corporate clients on their global investor opportunities. Mitch is a member of the Americas Distribution Committee and is actively involved in diversity initiatives. He has over 15 years of experience at UBS, most recently as US COO of Equities Distribution working directly with sales management to develop the overall sales strategy. Previous to that, he was a Global COO of Sales in Prime Services working with our key hedge fund clients. Mitch received his MBA from the Katz Graduate School of Business, University of Pittsburgh and BS in Neuroscience from the University of Pittsburgh.

  • Jennifer Grayson, Chief Operating Officer of Equities and Head of Global Corporate Access, Baird

    Jennifer Grayson is Baird’s Chief Operating Officer of Equities and Head of Global Corporate Access. Jennifer was recently named COO of Equities for Baird, having joined the firm in 2011. She is responsible for managing the department’s resources, leading the global corporate access strategy and active in recruiting efforts across the firm. Prior to joining Baird, Jennifer spent 11 years in a variety of sales and leadership roles across multiple industries. Jennifer received a BS in Public Administration as a scholarship athlete at the University of Wisconsin-Green Bay and holds a Series 7 & 63 license.

  • Moderator: Neil Stewart, Vice President, IR Advisory, Citi Depositary Receipt Services; NIRI Board of Directors

    Neil Stewart, is Vice President, IR Advisory, Citi Depositary Receipt Services. In his role with Citi Depositary Receipt Services, Neil helps clients develop and execute IR strategies globally. His main focus is organizing client training and educational events and keeping clients updated on cutting-edge IR topics. Neil was formerly Editorial and Research Director of IR Magazine and Corporate Secretary, and is well known for having led an international line-up of IR awards events and conferences. He has led or spoken at over 150 events globally during his more than 20 years in the IR world. Neil has lived and worked in Montreal, London and New York.

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