Jose Carlos Doherty, Brazilian Financial and Capital Markets Association (ANBIMA)

Jose Carlos Doherty Jose Carlos Doherty is graduated from the Federal University of Brasilia (UnB), Finance Executive MBA from INSPER and GAMP Certificate from Georgetown /ESADE. Doherty joined Anbima in 2006 as Head of Market Supervision and was appointed CEO in 2012. Over the last 25 years he worked at CVM and Bovespa (Brazil), where he worked in the development of rules and operational structures for foreign investments in capital market. Doherty also worked at financial institutions: Deutsche Bank, BankBoston, Bank of America and Brown Brothers Harriman & Co. From 2012 to 2018 Mr. Doherty was also chairman of IOSCO Affiliate Members Consultative Committee (AMCC), responsible for representing ANBIMA at international forums on regulation and supervision.

Special appearance by:


Panel discussion


10.55 - 11.40

Looking forward to enhanced cross-border fund distribution

One of the aims of the Capital Markets Union project is to foster growth by reinforcing the role of capital markets, investment funds and asset managers, in the financing of the European economy, too dependent on bank financing. In this context, the European Commission has made proposals to remove the remaining barriers to cross-border distribution of funds. How will these impact the distribution processes?
Will integration help the cross-border investment fund industry to seize the opportunity and contribute more effectively towards economic growth? If so, which are the products and who are the clients?

A debate between the Commission and the industry


11.40 - 12.25

Delegation, "third countries", Brexit... Quo vadis, distribution of EU funds?

Delegation of certain asset management functions to a company’s headquarters, other group companies or specialist third-party asset managers, with the decision-making process and risk oversight remaining in the country from which delegation takes place, is a tried and tested practice in the European and international fund industry.
It is important to third-country asset managers of European funds and it benefits the end investor by providing access to local asset management expertise. Brexit, coupled with the “ESA Review” proposal, have put the delegation model at the core of heated discussions. How are these perceived outside the EU? What is the way forward?

A regulators debate


14.35 - 15.15

Focus on Latin America

Key developments in the region, including recent amendments to pension fund regulations, offer new distribution opportunities for UCITS and alternative fund managers, as well as improved choice for local investors.

A deep dive into local trends and regulatory changes

  • Guillermo Arthur

    Guillermo Arthur President International Federation of Pension Fund Administrators (FIAP)


16.00 - 16.40

Focus on Southeast Asia

The fund and asset management industries in Southeast Asia are growing significantly. The panel presents new opportunities in the region, including in Thailand, Indonesia, Singapore and the Pacific.


16.40 - 17.05

A discussion with NICSA and HKIFA

ALFI talks to its Conference Partners, NICSA and HKIFA, about important developments in their respective markets, amongst others the progress of Asian passporting schemes or FinTech in the US.