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日本CFA協会特別シンポジウム「金融の将来」イニシアチブ フィデューシャリー・デューティー(FD)改革 -日本市場改革第三の矢—業界への影響、東京国際金融センターへの道筋- CFA協会 "Putting Investors First Month"イベント

Event Description

日本CFA協会特別シンポジウム
「金融の将来」イニシアチブ
フィデューシャリー・デューティー(FD)改革
-日本市場改革第三の矢業界への影響、東京国際金融センターへの道筋-
CFA協会 "Putting Investors First Month"イベント

 (English text follows Japanese.)
日時:2017年4月28 日(金) 13:30-17:50 (開場: 13:00)
会場:大手町フィナンシャルシティカンファレンスセンター
東京都千代田区大手町 1-9-7大手町フィナンシャルシティ サウスタワー3階 
http://www.dbj-r.jp/conferencecenter/access.html
言語:日本語・英語(同時通訳付き)
参加費用(無料)

ご登録

セミナーにご参加の際は以下のウェブサイトよりお申し込み下さい。
https://jp.surveymonkey.com/r/2DJ8XTK
※受付は先着順となりますので参加希望の方はお早めにお申し込みください。
  
概要
 
2014年に導入されたスチュワードシップ・コード(SC)及び2015年に導入されたコーポレート・ガバナンス・コード(CG)は、日本市場にポジティブな変革をもたらしている。これらコードは、運用者である機関投資家や企業にガバナンス改革を迫り、中長期的に企業価値の向上を促すことで、日本市場を本来あるべき投資家本位の市場へと導き始めている。現在議論が展開されているフィデューシャリー・デューティー(FD)の浸透・実践も、これら改革の第3の矢の延長線上で要請されている。FD改革は欧米主要市場で進展しているが、特に米国における関連規制は金融機関の経営に影響を与え始めており、既存ビジネス・モデルの変革を迫っている。同様に、日本でもFD改革による関係業界への影響が出始めている。SCとCGについてそうであるように、FD改革も想像以上の速度で進展する可能性が高い。それは東京市場が、本来そうであるべき「投資家本位の原則(Investors First)」に基づく、真の国際金融センターに変遷しつつあることを意味する。本シンポジウムでは、内外におけるFD改革の展開及び関係業界への影響、それに伴う今後予想される国際金融センターとしての東京市場の位置づけ、あるべき姿などについて、国内外の有識者に議論していただく。
 
プログラム(内容は今後変更する場合があります。

13:30-13:40開会の挨拶: CFA協会Asia Pacific,Managing Director, Mr. Nick Pollard 

1. 講演 「真に顧客本位で、信頼できる」金融機関が集う世界有数の金融サービスセンターの創出 

13:40-14:10基調講演1:「国民の安定的な資産形成と顧客本位の業務運営(フィデューシャリー・デューティー)」
         (金融庁総務企画局審議官 中島淳 一氏)

14:10-14:40基調講演2:「国際金融都市・東京の実現に向けて」
         (東京都政策企画局 戦略事業担当部長 ​​​田尻貴裕氏)

*基調講演1.2.共に、顧客本位の原則(フィデューシャリー)の意義という観点から講演をお願いします。
 
14:40-15:10 講演 :「先進諸国におけるFD改革から学ぶ」                         
         (講演者:CFA協会 Managing Director,Standards and Advocacy,Mr.Kurt N. Schacht JD,CFA)(ビデオによる講演)
 
  ・ ニューヨーク、ロンドン等の国際金融センターのフロントランナーを擁する先進諸国におけるFD改革の現状と今後の展望から世界有数の金融サービスセンターの在り方を考える。 

 休憩/パネル準備15:10-15:25 

2. パネルディスカッション:投資家(顧客)ファーストに立脚した個人への資産運用サービスの提供に向けて

  ・ 投資商品の供給サイドと需要サイドのオピニオンリーダーをパネリストに迎え、「投資家(顧客)ファーストに立脚した資産運用サービスの提供に向けて」課題と対応を徹底討論する。
  ・ 商品組成、運用プロセス、デューディリジェンス、運用成果の説明、リスクの説明、分かりやすい費用開示等々で投資家保護を徹底し、投資家本位の投資(金融)サービスのベストプラクティスを探る。 
 
15:25-16:25 ディスカッション1(運用商品提供者の立場から): (講演者: ブラックロック・ジャパン株式会社 商品開発部長 内藤豊氏、株式会社みずほフィナンシャルグループ 専務執行役員 株式会社みずほ銀行 専務執行役員 リテール・事業法人部門共同部門長 齊藤哲彦氏、HCアセットマネジメント株式会社 代表取締役社長 森本紀行氏)
                            
モデレーター:日本CFA協会 執行理事 原田武嗣

休憩/パネル準備16:25-16:40 

16:40-17:40 ディスカッション2(個人投資家の立場から):(講演者:Foster Forum(良質な金融商品を育てる会)事務局長 永沢裕美子氏、楽天証券経済研究所客員研究員 経済評論家 山崎元氏、LIFE MAP,LLC代表 ファイナンシャル・ジャーナリスト 竹川美奈子氏)

モデレーター:日本CFA協会 執行理事 原田武嗣
 
17:40-17:50閉会の挨拶:日本CFA協会 会長 青砥 政孝
 

ご略歴

(開会の挨拶)
Nick Pollard
Managing Director, Asia Pacific, CFA Institute
 
Nick Pollard joined CFA Institute in 2016 as managing director for Asia Pacific. Based in the Hong Kong office, he also oversees operations in Beijing, China and Mumbai, India. Nick is responsible for working with all CFA Institute stakeholders, increasing the number of candidates entering and moving through the
organization's credentialing programs, and working with institutional partners (employers) throughout the region. He will be actively engaged with 19 CFA Institute societies that represent 23,000 members in the region.
Nick is a seasoned wealth management and banking executive and skilled at growing businesses in Europe and Asia. He brings a unique combination of strategic leadership skills as well as learning and professional development expertise. Prior to joining CFA Institute, Nick was CEO of The Royal Bank of Scotland's Coutts Asia division and, most recently, he was the Head of International Learning and Professional Development for Coutts International. Nick began his career with NatWest Group, subsequently part of the RBS Group, where he gained experience in marketing and talent development.
Nick earned his B.A from University College, London and is a Member of the Private
Wealth Management Association. He has lived and worked in the APAC region since
2009 and resides in Hong Kong. 
 
(基調講演者)
中島 淳一
金融庁総務企画局審議官
 
金融庁総務企画局審議官として、主に市場・取引所に関する企画立案を担当。
1985年大蔵省(現 財務省)入省。金融担当大臣秘書官、金融庁総務企画局信用課保険企画室長、JETROバンクーバー事務所長、財務省理財局国債業務課長、同国債企画課長、金融庁総務企画局政策課長(兼金融研究センター副センター長)、同総務課長、同参事官(信用担当)等を経て、2016年より現職。
1985年東京大学工学部計数工学科卒業、1995年ハーバード大学行政学修士。
  
田尻 貴裕
東京都政策企画局 戦略事業担当部長 ​
 
学歴
1994年 東京大学法学部卒(法学士)
2001年 ハーバード大学ジョンFケネディ行政大学院卒(公共政策学修士)
職歴
1994年 通商産業省(現 経済産業省)入省
2010年 在アメリカ合衆国日本国大使館経済班 参事官
2013年 経済産業省産業技術環境局環境政策課地球環境対策室 室長
2016年 東京都政策企画局 戦略事業担当部長
 
(講演者)
Kurt N. Schacht, JD, CFA
Managing Director, Standards and Advocacy
 
Mr. Schacht is managing director of the Standards and Advocacy division of CFA Institute. He is responsible for all efforts to develop, promulgate, and maintain the highest ethical standards for the investment community including CFA Institute Code of Ethics and Standards of Professional Conduct, Global Investment Performance Standards, CFA Institute Research Objectivity Standards, and CFA Institute Soft Dollar Standards. He directs efforts to represent the views of investment professionals to standard setters, regulatory authorities, and legislative bodies worldwide on issues that affect the practice of financial analysis and investment management, education, and licensing requirements for investment professionals, and the efficiency of global financial markets.
Prior to joining CFA Institute Mr. Schacht has been involved in the investment management business since 1990, serving as chief operating officer for a retail mutual complex in White Plains, New York; general counsel and COO for a Manhattan-based hedge fund; and as chief legal officer for the State of Wisconsin Investment Board (SWIB) in Madison, Wisconsin. Mr. Schacht has an extensive background in securities law and regulation, alternative investments, hedge funds, financial reporting, and corporate governance matters.
Mr. Schacht is a chair on the U.S. Securities and Exchange Commission Investor Advisory Committee. He also has served on the Public Company Accounting Oversight Board Standing Advisory Group and is on the advisory board of the Millstein Center for Global Markets at Columbia Law School. Additionally, he served on the Advisory Committee for Smaller Public Companies to the SEC, the Expert's Group for Principles for Responsible Investment of the United Nations Environment Programme (UNEP), and the Proxy Committee of the International Corporate Governance Network (ICGN). He was the New York Society of Security Analysts 2004 Volunteer of the Year.
Mr. Schacht holds a JD and BS from the University of Wisconsin.

内藤

ブラックロック・ジャパン株式会社 商品開発部長

商品開発部長として、機関投資家向け・個人投資家向けの商品開発・組成業務を統括。

2001年バークレイズ・グローバル・インベスターズ(現ブラックロック)入社。運用部にてアセット・アロケーション関連業務等に従事後、2007年より商品開発業務、営業企画・推進業務を担当。2009年12月より現職。

ブラックロック入社以前は、1997年三井信託銀行(現三井住友信託銀行)入社。年金数理設計業務、投信販売業務、企業・個人融資業務に従事。

横浜国立大学(経済学部)卒業

早稲田大学大学院法学研究科修了(法学修士)

London School of Economics and Political Science修了(LL.M. in Banking Law and Financial Regulation)

日本証券アナリスト協会検定会員

 

齊藤 哲彦

株式会社みずほフィナンシャルグループ専務執行役員

株式会社みずほ銀行専務執行役員 リテール・事業法人部門共同部門長

昭和 58年 3月 慶應義塾大学法学部卒業

昭和 58年 4月 入社

平成 14年 4月 株式会社みずほコーポレート銀行e-ビジネス業務部次長

平成 15年 8月 株式会社みずほフィナンシャルグループ

次期システム検討PT参事役

平成 18年 3月 株式会社みずほ銀行EC推進部長

平成 21年 4月 同 新橋支店新橋法人部長

平成 22年 4月 同 執行役員新橋支店新橋法人部長

平成 23年 6月 同 常務執行役員個人マーケティング部長

平成 23年 7月 同 常務執行役員

平成 24年 4月 同 常務執行役員個人ユニット長(平成25年7月まで)

株式会社みずほコーポレート銀行常務執行役員(非常勤)

みずほ銀行個人ユニット連携担当(平成25年7月まで)

平成 25年 4月 株式会社みずほフィナンシャルグループ常務執行役員

個人ユニット長(平成26年4月まで)

平成 25年 7月 株式会社みずほ銀行常務執行役員個人ユニット長

(株式会社みずほ銀行と株式会社みずほコーポレート銀行が

合併し、株式会社みずほ銀行として発足)

平成 26年 4月 株式会社みずほフィナンシャルグループ常務執行役員

個人ユニット長兼リテールバンキングユニット長

(平成27年4月まで)

みずほ証券株式会社常務執行役員国内営業部門共同部門長兼銀行・信託連携グループ長兼ネット・コンタクトグループ長

平成 26年10月 同 常務執行役員国内営業部門共同部門長兼

ネット・コンタクトグループ長

平成 27年 4月 株式会社みずほフィナンシャルグループ執行役専務

個人ユニット長

みずほ証券株式会社常務執行役員国内営業部門共同部門長

平成 28年 4月 株式会社みずほフィナンシャルグループ専務執行役員

リテール・事業法人カンパニー特定業務担当役員(現職)

みずほ証券株式会社専務執行役員

リテール・事業法人部門共同部門長

平成 29年 4月 株式会社みずほ銀行専務執行役員

リテール・事業法人部門共同部門長(現職)


 
森本 紀行
HCアセットマネジメント株式会社 代表取締役社長
 
三井生命のファンドマネジャーを経て、1990 年1 月当時のワイアットに入社。日本初の事業として、年金基金等の機関投資家向け投資コンサルティング事業を立ち上げる。 2002 年11 月、HC アセットマネジメントを設立、全世界の投資機会を発掘し、専門家に運用委託するという、新しいタイプの資産運用事業を始める。
東京大学文学部哲学科卒業。
  
永沢 裕美子
フォスター・フォーラム(良質な金融商品を育てる会)」事務局長

金融に特化した消費者市民グループ「フォスター・フォーラム(良質な金融商品を育てる会)」事務局長。大学を卒業後、日興證券に入社。アナリスト業務や資産運用業務に従事した後、投資信託部にて商品企画や制度調査を担当。その後Citibank に移り、Consumer Investments(個人投資部)の立ち上げ等を担当。2001年に退職し、投資信託制度の研究生活に入るとともに、フォスター・フォーラムを立ち上げ、以後事務局長として活動している。現在、金融審議会委員(2009年~)、国民生活センター紛争解決委員会特別委員(2010年~)、金融広報中央委員会・金融経済教育推進会議委員(2013年~)、金融庁参事・金融行政モニター委員(2016~)等。
消費生活アドバイザー(第27期)として公益社団法人 日本消費生活アドバイザー・コンサルタント・相談員協会( NACS)でも活動しており、現在NACS理事。
著書として『生涯学習の基礎』(鈴木真理他との共著、学文社、2011年)の他、『くらしの豆知識』(国民生活センター)はじめ新聞・雑誌で金融商品に関する記事等を執筆している。
1984年東京大学教育学部卒業。2006年お茶の水女子大学大学院博士課程前期(生活経済学専攻)修了(学術修士)、早稲田大学法科大学院(ロースクール)修了(法務博士)。

山崎
楽天証券経済研究所客員研究員 経済評論家
 
経済評論家、楽天証券経済研究所客員研究員、国家公務員共済組合連合会資産運用委員会委員、株式会社マイベンチマーク代表。1958年北海道生まれ。1981年東京大学経済学部卒業後、三菱商事に入社。その後、野村投信、住友信託銀行、メリルリンチ証券、UFJ総研など12回の転職を経て現職。「ファンドマネジメント」(きんざい)、「確定拠出年金の教科書」(日本実業出版社)など著書多数。
 
竹川 美奈子
LIFE MAP, LLC代表/ファイナンシャル・ジャーナリスト
 
出版社や新聞社勤務などを経て独立。2000年FP資格を取得。新聞・雑誌等で取材・執筆活動を行うほか、投資信託や個人型確定拠出年金、マネープランセミナーなどの講師を務める。
「1億人の投信大賞」選定メンバー、「コツコツ投資家がコツコツ集まる夕べ(東京)」幹事、「投信ブロガーが選ぶ!Fund of the year」運営委員などをつとめ、投資のすそ野の拡大に取り組んでいる。『一番やさしい! 一番くわしい! 個人型確定拠出年金iDeCo活用入門』(ダイヤモンド社)、『臆病な人でもうまくいく投資法-お金の悩みから解放された11人の投信投資家の話』(プレジデント社)など著書多数。2016年7月~12月 金融庁 金融審議会「市場ワーキング・グループ」委員
・ホームページ:https://www.lifemapllc.com  
 
 (モデレーター)
原田 武嗣,CFA
日本CFA協会執行理事
 
日本CFA協会執行理事、アドボカシー委員会チェアとして倫理・職業基準の日本の投資専門家への普及・促進、コーポレートガバナンス及び資本市場健全性に関わる問題に取り組んでいる。
野村アセットマネジメント株式会社でコンプライアンスオフィサー、リスク管理委員会委員、アナリスト、ファンドマネジャーや商品開発及びロンドンオフィス等のヘッドを含む広範な職務に30年以上にわたり従事した。また2002-2006年には、野村ブラックロック・アセット・ マネジメント株式会社で監査役を勤めた。ノースウエスタン大学経営大学院 経営学修士。 
 
(閉会の挨拶)
青砥 政孝, CFA
一般社団法人日本CFA協会会長
みずほキャピタルパートナーズ株式会社インターナルオーディター
 
1981年日本興業銀行入行後、1988年より同行ニューヨーク支店にてVice President、1996年厚生年金基金連合会(現、企業年金連合会)へ出向、年金運用部運用課長、Chief Fund Managerを務める。2004年みずほ銀行資金証券部総合資金部次長、2006年同行資産管理サービス信託銀行証券運用部部長、2008年みずほ第一フィナンシャルテクノロジー株式会社取締役、2014年みずほキャピタルパートナーズ株式会社General Managerを経てインターナルオーディター(現職)。
日本ファイナンス学会会員。日本証券アナリストジャーナル編集委員(2010年11月~2014年5月)。一般社団法人日本CFA協会監事(2012年11月~2015年10月)、2015年11月より同協会会長。
一橋大学経済学部(荒憲治郎ゼミ)卒業。社団法人日本証券アナリスト協会検定会員(CMA)。国際投資アナリスト(CIIA)。CFA協会認定証券アナリスト(CFA)。
主著は「年金基金の自家運用」東洋経済、共訳書は「米国企業年金の基礎 マクギル」ぎょうせい。 


CFA Japan Special Symposium
"Future of Finance" Initiative:
CFA Institute "Putting Investors First Month" Event
Fiduciary Duty Reform:
How will the Fiduciary Duty Reform impact the financial services industry and shape Tokyo's path to become the top global financial center in Asia?
 
 

Date/Time: April 28(Fri), 2017 13:30 – 17:50 (Registration: 13:00)
Venue: Otemachi Financial City Conference Center
3rd Floor, South Tower, Otemachi Financial City, 9-7 Otemachi I chome, Chiyoda-ku, Tokyo 100-0004, Japan
http://www.dbj-r.jp/conferencecenter/access.html
Language: Japanese & English (simultaneous interpretation provided)
Registration: Free
 
Outline:

Following the Stewardship Code (in 2014) and the Corporate Governance Code (in 2015), Japan will start the third round of the reform initiatives. The Financial Service Agency will introduce the Fiduciary Duty Code, which is expected to bring about positive changes in Japan. These three codes combined should be instrumental in leading the Japanese financial market to a global center guided by the investors-first principle.

The fiduciary duty reform is in progress among major countries. In the US, recent regulatory moves are impacting the financial services industry, prompting their existing business models to be modified. Even in Japan, it seems that this reform has already given the financial services industry some impact. Like the two preceding ones, the fiduciary duty initiative is expected to permeate faster than widely thought, possibly converting Tokyo financial market into a global center under the investor-first principle.

This symposium will bring together leading experts from Japan and abroad to discuss key issues related to the fiduciary duty reform, including its progress in Japan and abroad, its impacts on the financial services/relevant industries, and its ramifications for Tokyo as a global financial center.
  
(The program is subject to change.)
 
Program:
13:30-13:40 Opening remarks   
Speaker: Mr. Nick Pollard, Managing Director, Asia Pacific, CFA Institute
 
Section I: Creating a world-leading financial center serving as home to financial services providers that "truly operate under the client-first principle and are trustable"
 
13:40-14:10 Keynote speech 1: "Stable Formation of the people's assets and Customer-Oriented Business Management (Fiduciary Duty)"
Speaker: Mr. Junichi Nakajima (Deputy Director-General, Planning and Coordination Bureau, Financial Services Agency)
 
14:10-14:40 Keynote speech 2: "Challenge to make Tokyo a Global Financial City"
Speaker: Mr. Takahiro Tajiri (Senior Director for Strategic Project, Office of the Governor for Policy Planning, Tokyo Metropolitan Government)
 
The two speakers will present from the fiduciary duty and client-first principle perspectives.
 
14:40-15:10 "Learn from Fiduciary Duty Reform in western developed countries"
Speaker: Mr.Kurt N. Schacht JD, CFA, Managing Director,Standards and Advocacy
(Speech by video)
 
Purpose: Learning from the FD Reforms in the western developed countries which have top global financial centers such as New York and London, etc., think about the ways of financial service centers of world eminence.
 
15:10-15:25 Break/ Panel discussion preparation
 
Section II: Panel discussion: Enabling investor (client)-first asset management services to individuals
 
The panel will be composed of opinion leaders on both the investment product provider side and the demand side, and will discuss key issues relevant to the provision of "asset management services that are based on the investor (client)-first principle."  The discussion will cover product development, investment process, due diligence, performance explanation, risk explanation, clear-cut expense disclosure, and other key issues to safeguard investor protection.  The panel will seek to find out a best practices framework enabling the provision of investor-first investment management and financial services.
 
15:25-16:25 Discussion 1 (from asset managers' standpoint)  
Speakers:

Mr. Yutaka Naito (Director, Head of Strategic Product Management (Product Development), BlackRock Japan BlackRock Japan Co., Ltd.), Mr. Tetsuhiko Saito (Senior Managing Executive Officer, Mizuho Financial Group Inc. Mizuho Bank), Mr. Noriyuki Morimoto (Chief Executive Officer, HC Asset Management Co., Ltd.)
 
Moderator: Taketsugu Harada, CFA (Secretary and Board Director, CFA Society Japan)
 
16:25-16:40 Break/ Panel discussion preparation
 
16:40-17:40 Discussion 2 (from individual investors' standpoint)  
Speakers: Ms. Yumiko Nagasawa(Director-General, Foster Forum), Mr. Hajime Yamazaki (Economic commentator, Visiting Researcher of Rakuten Securities Institute of Economic Research), Ms. Minako Takekawa (Financial Journalist, LIFE MAP, LLC.)
 
Moderator: Taketsugu Harada, CFA (Secretary and Board Director, CFA Society Japan)
 
17:10-17:20 Closing remarks
Speaker: Masataka Aoto, CFA (President, CFA Society Japan)

 

Speaker

(Opening Remarks)
Nick Pollard
Managing Director, Asia Pacific, CFA Institute
 
Nick Pollard joined CFA Institute in 2016 as managing director for Asia Pacific. Based in the Hong Kong office, he also oversees operations in Beijing, China and Mumbai, India. Nick is responsible for working with all CFA Institute stakeholders, increasing the number of candidates entering and moving through the
organization's credentialing programs, and working with institutional partners (employers) throughout the region. He will be actively engaged with 19 CFA Institute societies that represent 23,000 members in the region.
Nick is a seasoned wealth management and banking executive and skilled at growing businesses in Europe and Asia. He brings a unique combination of strategic leadership skills as well as learning and professional development expertise. Prior to joining CFA Institute, Nick was CEO of The Royal Bank of Scotland's Coutts Asia division and, most recently, he was the Head of International Learning and Professional Development for Coutts International. Nick began his career with NatWest Group, subsequently part of the RBS Group, where he gained experience in marketing and talent development.
Nick earned his B.A from University College, London and is a Member of the Private
Wealth Management Association. He has lived and worked in the APAC region since
2009 and resides in Hong Kong.
 
(Keynote speech)
Junichi Nakajima
Deputy Director-General, Planning and Coordination Bureau, Financial Services Agency
 
Junichi Nakajima has served as the Deputy Director-General of the Planning and Coordination Bureau of the Financial Services Agency (FSA) responsible for policy planning and coordination of financial markets and exchanges since 2016.
Junichi Nakajima joined the Ministry of Finance (MOF) in 1985 and assumed various positions mainly at the MOF and FSA, including the executive secretary to the Minister of State for Financial Services; Director, Insurance System Planning Office, FSA; Director-General of JETRO Vancouver; Director, Market Finance Division, MOF; Director, Debt Management Policy Division, MOF; Director, Policy Planning Division, FSA (while also Deputy Director, Financial Research Center, FSA); Director, General Coordination Division, FSA; and Deputy Director-General, Planning and Coordination Bureau, FSA (responsible for credit systems).
He graduated from the Faculty of Engineering, the University of Tokyo, in 1985 and Harvard Kennedy School in 1995.
 
Takahiro Tajiri
Senior Director for Strategic Project, Office of the Governor for Policy Planning, Tokyo Metropolitan Government
 
Education:
2001      Master in Public Administration, John F. Kennedy School of Government, Harvard University
1994      B.A. in Law, Tokyo University
Career:
2016      Senior Director for Policy, Office of the Governor for Policy Planning, Tokyo Metropolitan Government
2013      Director, Global Environmental Affairs Office, Industrial Science and Technology Policy and Environmental Policy Bureau, METI
2010      Counselor, Economic Section, Embassy of Japan in the United States
1994      Joined the Ministry of International Trade and Industry (MITI, now METI)
  
(Speaker)
Kurt N. Schacht, JD, CFA
Managing Director, Standards and Advocacy
 
Mr. Schacht is managing director of the Standards and Advocacy division of CFA Institute. He is responsible for all efforts to develop, promulgate, and maintain the highest ethical standards for the investment community including CFA Institute Code of Ethics and Standards of Professional Conduct, Global Investment Performance Standards, CFA Institute Research Objectivity Standards, and CFA Institute Soft Dollar Standards. He directs efforts to represent the views of investment professionals to standard setters, regulatory authorities, and legislative bodies worldwide on issues that affect the practice of financial analysis and investment management, education, and licensing requirements for investment professionals, and the efficiency of global financial markets.
Prior to joining CFA Institute Mr. Schacht has been involved in the investment management business since 1990, serving as chief operating officer for a retail mutual complex in White Plains, New York; general counsel and COO for a Manhattan-based hedge fund; and as chief legal officer for the State of Wisconsin Investment Board (SWIB) in Madison, Wisconsin. Mr. Schacht has an extensive background in securities law and regulation, alternative investments, hedge funds, financial reporting, and corporate governance matters.
Mr. Schacht is a chair on the U.S. Securities and Exchange Commission Investor Advisory Committee. He also has served on the Public Company Accounting Oversight Board Standing Advisory Group and is on the advisory board of the Millstein Center for Global Markets at Columbia Law School. Additionally, he served on the Advisory Committee for Smaller Public Companies to the SEC, the Expert's Group for Principles for Responsible Investment of the United Nations Environment Programme (UNEP), and the Proxy Committee of the International Corporate Governance Network (ICGN). He was the New York Society of Security Analysts 2004 Volunteer of the Year.
Mr. Schacht holds a JD and BS from the University of Wisconsin.

Yutaka Naito

Director, Head of Strategic Product Management (Product Development), BlackRock Japan BlackRock Japan Co., Ltd.

Yutaka Naito, Director, is Head of Strategic Product Management (Product Development) at BlackRock Japan.  He is responsible for all new product development related efforts across three distribution channels (Pension,Financial Institution and Retail). 

His service with the firm dates back to 2001, including his years with Barclays Global Investors (BGI), which merged with BlackRock in 2009.  At BGI, he held a variety of positions, primarily in portfolio/account management and product/business development.  Prior to joining BGI, he was engaged in actuarial work for corporate and public pension funds as well as a wide range of banking services including mutual fund sales at Mitsui Trust & Banking Co., Ltd.

He earned an LL.M. in Banking Law and Financial Regulation degree from London School of Economics and Political Science with a dual concentration in law and finance, a Master of Laws degree from Waseda University, and a BA degree in Economics from YokohamaNational University.  He is a Chartered Member of the Security Analysts Association of Japan (CMA).

 

Tetsuhiko Saito

Senior Managing Executive Officer, Mizuho Financial Group, Inc.

 
  
Noriyuki Morimoto
Chief Executive Officer, HC Asset Management Co., Ltd.
 
Noriyuki Morimoto founded HC Asset Management in November 2002. As a pioneer investment consultant in Japan, he established the investment consulting business of Watson Wyatt K.K. (Tokyo Office) in 1990, where he was Director & Consultant for 13 years. His responsibilities also included Benefit consulting and Financial Services consulting. Prior to joining Watson Wyatt, he was responsible for foreign fixed income investment, asset allocation and investment strategy at Mitsui Life Insurance Co., where he managed assets for the company's variable life products and group annuities as a fund manager. He spent two years and a half in London managing fixed income assets. He started his investment career as Japanese equity analyst at Mitsui Life in 1983. Bachelor of Arts (Philosophy), University of Tokyo.

 

Yumiko Nagasawa                                                          Director-General, Foster Forum

"Foster Forum (Foundation for Good Financial Product Development)" is a consumer citizen group specializing in finance.  After graduating from Tokyo University in 1984, Ms. Nagasawa joined Nikko Securities.  After engaging in analyst and asset management roles, she was responsible for products planning and regulatory research at Investment Trust Department.  After that she moved to Citibank and was in charge of establishing Consumer Investments Business.  Since 2001, she entered the research life of mutual funds, launched Foster Forum in 2004 and acts as its Director-General.  A member of Financial System Council (from 2009), a special member of Consumer ADR Committee in The National Consumer Affairs Center of Japan (from 2010), a member of Central Council for Financial Services Information/Committee for the Promotion of Financial Education (from 2013), a counselor of Financial Services Agency/a member of Financial Administrative Monitor (from 2016), etc.

Ms. Nagasawa is also Board Director of Nippon Association of Consumer Specialists (NACS) and plays an active role in consumer affairs.

She is the co-author of "Basics of Lifelong Learning" (with Mari Suzuki and etc., Gakubunsha, 2011), and writes articles on financial products in newspapers and magazines, including "Living knowledge" (National Consumer Affairs Center of Japan).

J.D. in Law at Waseda University in 2012.


Hajime Yamazaki                

Economic commentator, Visiting Researcher of Rakuten Securities Institute of Economic Research

Economic commentator, Visiting Researcher of Rakuten Securities Institute of Economic Research, Member of Asset Management Committee at Federation of National Public Service Personnel Mutual Aid Association, and President of Mybenchmark Co, Ltd. Born in Hokkaido in 1958.  After graduating from Faculty of Economics at the University of Tokyo in 1981, Mr. Yamazaki joined Mitsubishi Corporation.  After that he took 12 career changes, including Nomura Securities Investment Trust, Sumitomo Trust Bank, Merrill Lynch, UFJ Institute, and so on.  Author of many books, such as "Fund Management" (Kinzai) and "Textbook of Defined Contribution Pension" (Nippon Jitsugyo Publishing).​

 

Minako Takekawa                                                                    CEO, LIFE MAP, LLC /Financial Journalist


Started her independent business after the experiences in a publishing company and a newspaper company. In 2000, acquired a certification of Financial Planner. Researching and contributing to newspapers and magazines, and having lectures on mutual funds, individual-type defined contribution pension plan and money planning.

A selection member of the 'Investment Fund Award for one hundred billion Japanese People', an organizer of 'Kotsukotsu Evening Meeting for Investors (Tokyo)', an operating member of  'Fund of the year by Mutual Funds Bloggers', and working on expanding the circle of investors.

Wrote many books, including "Easy! Fully explained! Active Use of individual-type defined contribution pension plan, iDeCo, for Beginners" (DIAMOND, Inc.)," "Investment Methods for Cowards - 11 Stories of Investors who were released from concerns," (PRESIDENT Inc.).

A member of Market Working Group, Financial System Council at Financial Services Agency (July-December, 2016).

 

 (Moderator)
Taketsugu Harada, CFA
Secretary and Board Director, Advocacy Committee Chair, CFA Society Japan
 
Taketsugu Harada,CFA is Secretary and Board Director and Advocacy Committee Chair at CFA Society of Japan,Inc where he has been engaged in the activities relating to the professional ethics,the corporate governance and market integrity.
He previously worked at Nomura Asset Management CO.,LTD. over 30 years in the numerous positions and functions including Compliance Officer and a member of risk management committee,security analyst, fund manager, heads of product development as well as London office and he also worked as Statutory Auditor at Nomura BlackRock Asset Management CO.,LTD. from 2002 to 2006.
He holds MBA from Graduate School of Management, Northwestern University.
 
(Closing Remarks)
Masataka Aoto, CFA
President, CFA Society Japan
Internal Auditor, Mizuho Capital Partners Co., Ltd.   
 
Graduated from Hitotsubashi University, BA Economics, Mr. Aoto joined Industrial Bank of Japan, Ltd in 1981. He was engaged in Vice President at New York Branch from 1988. He became Chief Fund Manager at Pension Fund Association(Seconded) in 1996, Deputy General Manager of Treasury Dept. at Mizuho Bank in 2004, General Manager of Securities Lending Dept. at Trust & Custody Services Bank, Ltd. in 2006. He served as Director at Mizuho-DL Financial Technology Co., Ltd, in 2008 and as General Manager at Mizuho Capital Partners Co., Ltd in 2014.
Mr. Aoto is a chartered member of the Securities Analysis Association of Japan(CMA) and he holds CIIA (Certified International Investment Analyst) designation.. He is also a member of NFA (Nippon Finance Association).
He was a member of the editorial board of SAAJ from 2010 to 2014.
He has served on the Statutory Auditor of CFA Society Japan since 2012 and is a President of the society.
Mr. Aoto is the author of "In-house Management of Pension Fund" (Toyo Keizai 1999) and Co-translator of "Fundamentals of Private Pensions McGill" (Gyosei 1998).
  

Event Type

Society

Education Topic

Equity Investments; Leadership, Management, and Communication Skills; Standards, Ethics, and Regulations

Start Time

2017/04/28 13:30

End Time

2017/04/28 17:50

City

Tokyo

State/Province

 

Event Country

 

Event Region

Asia Pacific

Location Info

​会場:大手町フィナンシャルシティカンファレンスセンター
東京都千代田区大手町 1-9-7大手町フィナンシャルシティ サウスタワー3階 
http://www.dbj-r.jp/conferencecenter/access.html

Speaker

 

CE Credits

4.5

SER Credit

4.5

Currency

yen

Member Price

0

Non-Member Price

0

Candidate Price

0

Registration

​セミナーにご参加の際は以下のウェブサイトよりお申し込み下さい。
https://jp.surveymonkey.com/r/2DJ8XTK
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If you wish to attend this seminar, please register via website.
https://jp.surveymonkey.com/r/2DJ8XTK
※Since there are limited numbers of seats, please register soon.
  

All Day Event

 

Recurrence

 

End

2017/04/28 17:50

Attachments

Content Type: MyCFA Calendar
Created at 2017/03/03 18:55 by shiozawa@cfaj.org
Last modified at 2017/04/20 11:56 by shiozawa@cfaj.org