STRUCTURE OF ALFI TECHNICAL COMMITTEES January 2015 COMMITTEE ALFI COORDINATOR CHAIRPERSON MEMBERSHIP STATUS Technical Committees B - PROMOTION & CONFERENCES COMMITTEE (TC) B - PROMOTION & CONFERENCES COMMITTEE (TC) Michael Ferguson EY B. - Promotion Steering Committe (SC) B1 - Europe (SC) B2 - Asia Pacific (SC) B2.1 - Hong Kong (WG) B3 - Middle East (SC) B3.1 - Dubai (WG) B4 - America (SC) B5 - Conferences (SC) B5.1 - Spring Conference (WG) Michael Mark Gast Ching Yng Germain Valérie Joe Michael Laurent Denise Ferguson Evans Juncker Choi Birgen Mantot Hendry Ferguson Halbgewachs Voss EY PricewaterhouseCoopers, Société Coopérative Elvinger, Hoss & Prussen Association of the Luxembourg Fund Industry Banque de Luxembourg S.A. Sanne Group Brown Brothers Harriman (Luxembourg) S.C.A. EY F2C S.à r.l Franklin Templeton Investments B5.2 - Global Distribution Conference (WG) Michel Charles Lentz Muller KPMG Luxembourg S.à r.l. Marco Zwick Schroder Investment Management (Luxembourg) Christoph Adamy Allianz Global Investors GmbH Michel Claude Lentz Niedner Arendt & Medernach S.A. Ulrich Josée-Lynda Christophe Binninger Denis Lentschat Pandomus Agence de Transfert de Technologie Financière APEX Fund Services C - ALTERNATIVE INVESTMENTS COMMITTEE (TC) C1 - Alternative Investments Steering Committee (SC) C2 - Hedge Funds (SC) Claude Claude Jerôme Michael Niedner Niedner Wigny Ferguson Arendt & Medernach S.A. Arendt & Medernach S.A. Elvinger, Hoss & Prussen EY C3 - Real Estate Investment Funds (REIF) (SC) Keith Michael Burman Hornsby ManagementPlus (Luxembourg) S.A. EY C3.1 - REIF Financial Framework (WG) Benjamin Alison Lam Macleod Deloitte Luxembourg KPMG Luxembourg S.à r.l. Full C3.2 - REIF Central Administration Best Practices for AIFs (WG) (jointly with PE & VC sub- Johan Robert committee) Blaise Brimeyer PricewaterhouseCoopers, Société Coopérative Alter Domus Luxembourg S.à r.l. Full C3.3 - REIF Marketing (WG) Catherine Stéphane Martougin Haot Arendt & Medernach S.A. SGG S.A. Open C3.3.1 - REIF Publications (WG) Robert Johan Hessing Terblanche Intertrust (Luxembourg) S.à r.l. Dechert (Luxembourg) LLP Open C3.3.2 - REIF Events (SWG) René Lize Paulussen Griffiths PricewaterhouseCoopers, Société Coopérative Deloitte Luxembourg Open C3.3.3 - REIF Industry Associations & Distribution Channels (SWG) Catherine Sven Baudhuin Rein Alter Domus Luxembourg S.à r.l. Pancura Open C3.4 - REIF Training (WG) Frauke Carola Conor Oddone Cleere KPMG Luxembourg S.à r.l. Citco Bank Nederland N.V. Luxembourg Branch Open C3.5 - REIF Strategy (WG) Pierre Alan Kreemer Dundon KPMG Luxembourg S.à r.l. Alter Domus Luxembourg S.à r.l. C3.5.1 - REIF Distressed Asset Experience (SWG) C4 - Private Equity & Venture Capital (SC) Pierre Gilles Kreemer Dusemon KPMG Luxembourg S.à r.l. Arendt & Medernach S.A. B5.3 - Risk Management Conference (WG) B5.4 - Alternative Investment Funds Conference (WG) B5.5 - ALFI Golf Event (WG) B5.6 - TA & Distribution Forum Conference (WG) B5.7 - Leading Edge Conference (WG) Camille Thommes Anouk Agnes François Drazdik Only Chairpersons Full Full Open Open Open Full Full Full Full Full Full Full Full Open C - ALTERNATIVE INVESTMENTS COMMITTEE (TC) Susanne Weismüller Only on invitation Open Open Full Open Open Alain Kinsch EY C4.1 - PE & VC Best Practices (WG) Alain Gilles Kinsch Dusemon EY Arendt & Medernach S.A. Full C4.1.1 - PE & VC Central Administration Best Practices for AIFs (SWG) (jointly with RE sub-committee) Johan Robert Blaise Brimeyer PricewaterhouseCoopers, Société Coopérative Alter Domus Luxembourg S.à r.l. Full C4.2 - PE & VC Tax and Legal (WG) Raymond Frédérique Krawczykowski Lifrange Deloitte Luxembourg Elvinger, Hoss & Prussen Full C4.3 - PE & VC Publications (WG) Joachim Arne Kuske Bolch Elvinger, Hoss & Prussen Allen & Overy Full C4.4 - PE & VC Events (WG) Anja Grenner Société Générale Securities Services Luxembourg Full Alexandre Prost-Gargoz Deloitte Luxembourg C4.5 - PE & VC Trainings (WG) C4.6 - PE & VC Strategy and Hot Topic (WG) Daniela Alain Gilles Bergmans Kinsch Dusemon European Fund Administration S.A. EY Arendt & Medernach S.A. C4.7 - ALFI/LPEA European Venture Capital Funds (EuVECA) (WG) Gilles Dusemon Arendt & Medernach S.A. Full C5 - Infrastructure Funds (SC) Amaury Jean-Christian Evrard Six PricewaterhouseCoopers, Société Coopérative Allen & Overy Full C5.1 - Infrastructure Funds Best Practices (WG) John Frauke Carola Ravoisin Oddone PricewaterhouseCoopers, Société Coopérative KPMG Luxembourg S.à r.l. Open C5.2 - Infrastructure Funds - Tax, Legal and Regulatory (WG) Thierry Antoine Braem Badot PricewaterhouseCoopers, Société Coopérative KPMG Open C5.3 - Infrastructure Funds - Promotion of Luxembourg (WG) Pierre Muhammad Tahir Mallet Khan PricewaterhouseCoopers, Société Coopérative KPMG Luxembourg S.à r.l. Open C6 - AIFMD Reporting (SC) Nathalie Leon Dogniez Schwab-Mulvany PricewaterhouseCoopers, Société Coopérative BlackRock (Luxembourg) S.A. Open C6.1 AIFMD Reporting - Annual Reports (WG) Nathalie Leon Dogniez Schwab-Mulvany PricewaterhouseCoopers, Société Coopérative BlackRock (Luxembourg) S.A. Full D - FUND DISTRIBUTION COMMITTEE (TC) Noel Fessey Schroder Investment Management (Luxembourg) D1 - Dematerialised Mutual Fund Sales Agreement (SC) Noel Fessey Schroder Investment Management (Luxembourg) D4 - UCITS IV - Simplified Notification Procedure (SC) D5 - International Distribution (SC) D5.1 - Distribution Focus (WG) D5.1.1 - Distribution Focus Steering Committee (SWG) D5.1.2 - Distribution Focus Asia (SWG) D5.1.3 - Distribution Focus Europe and rest of the World (SWG) D5.1.4 - Distribution Focus Latin America (SWG) D5.1.5 - Distribution Focus - Distribution Initiative (SWG) D5.2 - Trade Agreements (WG) Michael John Lou Vincent Vincent Flynn Kiesch Heymans Heymans Deloitte Luxembourg Deloitte Tax & Consulting KPMG Luxembourg S.à r.l. KPMG Luxembourg S.à r.l. François-Kim Pierre Rafael David Hugé Bouchoms Aguilera Capocci Deloitte Luxembourg Generali Investments Luxembourg S.A. EY Deloitte Luxembourg Emmanuel Bégat ME Business Solutions S.à r.l. Jean-Jacques Picard Full F- LEGAL AND REGULATORY COMMITTEE (TC) Freddy Jacques Brausch Elvinger Linklaters LLP Elvinger, Hoss & Prussen Evelyne Christiaens Open F1 - International Affairs and Developments ( SC) F1.1 - UCITS Developments (WG) F1.2 - European Marketing Rules (WG) Freddy Freddy Hermann Frédérique Brausch Brausch Beythan Lifrange Linklaters LLP Linklaters LLP Linklaters LLP Elvinger, Hoss & Prussen F1.2.1 - MiFID (SWG) Alastair Graham Woodward Goodhew Aberdeen Global Services S.A. JPMorgan Asset Management (Europe) S.à r.l. Full Only on invitation D - FUND DISTRIBUTION COMMITTEE (TC) Pierre Oberlé Full Full Open Full Only Chairpersons Full Full Full Full Open E - PROFESSIONAL TRAINING COMMITTEE (TC) E - PROFESSIONAL TRAINING COMMITTEE (TC) F- LEGAL AND REGULATORY COMMITTEE (TC) Open Open Open Full F1.2.3 - PRIIPs (SWG) F2 - National Affairs & Implementation (SC) F2.1 - UCITS Implementation (WG) F2.2 - UCITS Eligible Assets (WG) Heimo Jacques Jacques Emmanuel Frédéric Michèle Plössnig Elvinger Elvinger Henrion Eisenhuth Assenagon Asset Management S.A. Elvinger, Hoss & Prussen Elvinger, Hoss & Prussen Linklaters LLP Arendt & Medernach S.A. Nathalie Jacques Marco Dogniez Elvinger Zwick PricewaterhouseCoopers, Société Coopérative Elvinger, Hoss & Prussen Schroder Investment Management (Luxembourg) Frédérique Nathalie Charles Silke Thierry Lifrange Dogniez Hutchinson Bernard Flamand Elvinger, Hoss & Prussen PricewaterhouseCoopers, Société Coopérative FIL (Luxembourg) Linklaters LLP Deloitte Luxembourg Silke Yann Bernard Power Linklaters LLP ME Business Solutions S.à r.l. G - MARKET INFRASTRUCTURE COMMITTEE (TC) Fréderic Pérard G. - Market Infrastructure Steering Committee (SC) Fréderic Pérard G1 - Fund-Related Tax Requirements (SC) G1.1 - Swiss Tax (WG) Renato Yvonne Mathias Moreschi Billerbeck Wasemann BNP Paribas Securities Services, succursale de Luxembourg BNP Paribas Securities Services, succursale de Luxembourg RBC Investor Services Bank S.A. UBS Fund Services (Luxembourg) S.A. Deloitte Luxembourg G2 - Total Expense Ratio (TER) (SC) G2.1 - Disclosure of Transaction Costs (WG) G2.2 - Total Expense Ratio (TER) Survey (WG) G3 - German Tax (SC) Daniela Nadia Daniela Judith Klasen-Martin Faber Klasen-Martin Mertesdorf-Perathoner Crestbridge S.A. EY Crestbridge S.A. Franklin Templeton International Services S.à r.l. F2.3 - Securities Lending (SWG) F2.4 - Anti-Money Laundering (AML) (WG) F2.5 - Cross Sub-Fund Investment (WG) F2.6 - Changes to Luxembourg Company Law (WG) F2.7 - Liquidity Funds / Shadow banking (WG) F2.9 - Remuneration Policies in the Financial Sector (WG) F3 - Pensions & Long Term Savings (SC) F3.1 - European Long Term Investment Funds (WG) Open Open Open Open Open Full Open Open Open Full Open Open G - MARKET INFRASTRUCTURE COMMITTEE (TC) Alexander Fischer Open Only Chairpersons Open Full Full Full Open Full Holger Hartmann bepartners Bödecker Ernst & Partner G4 - UK Tax (SC) G5 - Austrian Tax (SC) G7 - Global Investment Performance Standards (GIPS) (SC) G8 - Swing Pricing (SC) Birgitt Johannes Fanny Gary Schitthoff-Hönninger Höring Sergent Janaway RBC Investor Services Bank S.A. bepartners Bödecker Ernst & Partner PricewaterhouseCoopers, Société Coopérative Schroder Investment Management (Luxembourg) Open Open Open Full GG10 - Solvency II (SC) Thierry Chrystelle Flamand Veeckmans Deloitte Luxembourg KPMG Luxembourg S.à r.l. Open GG11 - EMIR/OTC Derivatives (SC) Henning Sven Schwabe Muehlenbrock Arendt & Medernach S.A. KPMG Luxembourg S.à r.l. Open GG11.5 - EMIR/OTC Derivatives FAQ (WG) Henning Sven Schwabe Muehlenbrock Arendt & Medernach S.A. KPMG Luxembourg S.à r.l. Open GG11.6 - EMIR Impact on Pooling Structures (WG) GG12 - Fund Accounting and Reporting Requirements (SC) GG13 - International Financial Reporting Standards (IFRS) (SC) GG14 - Exchange Traded Funds (ETF) (SC) GG15 - Target 2 Securities (T2S) / Central Securities Depositaries (CSD) (SC) Corinne Philippe Justin Florence Michael Lamesch Lenges Griffiths Alexandre Weber FIL (Luxembourg) Deloitte Luxembourg Deloitte Luxembourg State Street Bank Luxembourg Allianz Global Investors Europe GmbH Open Open Open Open Open GG16 - Statistics & Research (SC) Olivier Renault Société Générale Securities Services Luxembourg GG16.1 - Data Collection and Nominalization (WG) GG16.2 - Economic Research (WG) Dominique Paolo Valschaerts Vinciarelli Société de la Bourse de Luxembourg S.A. Banque et Caisse d'Epargne de l'Etat, Luxembourg H - RESPONSIBLE INVESTING COMMITTEE (TC) Ulrich Anne Grabenwarter Contreras European Investment Fund Arendt & Medernach S.A. H1 - RI Legal and Policy (SC) H2 - RI Market Intelligence and Outreach (SC) H3 - Microfinance & Impact Investing Conference (SC) H4 - RI Fund Labels (SC) Christian Jane Valérie Marc Hertz Wilkinson Arnold Elvinger Linklaters LLP KPMG Luxembourg S.à r.l. PricewaterhouseCoopers, Société Coopérative Elvinger, Hoss & Prussen Régine Rugani Only Chairpersons Only on invitation Only on invitation H - RESPONSIBLE INVESTING COMMITTEE (TC) Anouk Agnes Open Open Open Open Open J - TAX COMMITTEE (TC) J - TAX COMMITTEE (TC) J1 - Tax Steering Committee (SC) J2 - Subscription Tax (SC) Georges Georges John Jacques Bock Bock Parkhouse Elvinger KPMG KPMG PricewaterhouseCoopers, Société Coopérative Elvinger, Hoss & Prussen J3 - European Savings Directive (EuSD) (SC) J4 - Double Tax Treaties (SC) J5 - Value Added Tax (VAT) (SC) J6 - Foreign Account Tax Compliance Act (FATCA) Steering (SC) Georges Keith Michel Gérard Bock O'Donnell Lambion Laures KPMG Atoz S.A. EY KPMG Open Open Open Only Chairpersons J6.1 - FATCA Lobbying and Interpretations (WG) J6.2 - FATCA Operational Steering Committee (WG) Gérard Thierry Laures Detz KPMG BNP Paribas Securities Services, succursale de Luxembourg RBS (Luxembourg) S.A. Full Only Chairpersons Gudrun Goebel J6.2.1 - FATCA Identification and KYC process (SWG) Thierry Detz J6.2.1.1 - FATCA Impact on responsabilities and duties in the identification process (SWG) J6.2.1.2 - FATCA KYC process implementation for Individual and Entity (SWG) Omar J6.2.1.3 - FATCA Specific points with regard to the identification process (SWG) J6.2.2 - FATCA Fund & Entities Scoping (SWG) J6.2.3 - FATCA Distribution Channel (SWG) J6.2.4 - FATCA Reporting (SWG) J6.2.5 - FATCA Tax Calculation (SWG) J6.2.6 - FATCA Q&A (SWG) Marc-André Bechet Open Only Chairpersons Open Full Idmansour BNP Paribas Securities Services, succursale de Luxembourg Citibank International Limited, Luxembourg Branch Laura Secreti HSBC Bank plc, Luxembourg Branch Full Betty Pestiaux ING Investment Management Luxembourg Full Maria Teresa Gudrun Patrice Pascal Thierry Fulci-de Rosée Goebel Fritsch Noel Detz Full Full Full Full Full Gudrun Goebel Hines Luxembourg S.à r.l. RBS (Luxembourg) S.A. EY Deloitte Luxembourg BNP Paribas Securities Services, succursale de Luxembourg RBS (Luxembourg) S.A. Raymond Thorsten Georges Krawczykowski Vollmer Bock Deloitte Luxembourg DWS Investment S.A. KPMG Christoph Thomas Adamy Nummer K1.1 - Risk Management Steering Committee (WG) K1.2 - Market Risk (WG) Olivier Christoph Michael Luc Carré Adamy Derwael Neuberg Allianz Global Investors GmbH Carne Global Financial Services, Luxembourg S.à r.l. PricewaterhouseCoopers, Société Coopérative Allianz Global Investors GmbH Lombard Odier Funds (Europe) S.A. BCEE Asset Management K1.3 - Counterparty Risk and Issuer Risk (WG) Thomas Nummer J7 - AIFMD tax aspects (SC) J8 - Financial Transaction Tax (FTT) (SC) J9 - BEPS (SC) Full Full Full Open K - RISK MANAGEMENT COMMITTEE (TC) K - RISK MANAGEMENT COMMITTEE (TC) David Zackenfels Open Only Chairpersons Full Olivier Carré Carne Global Financial Services, Luxembourg S.à r.l. PricewaterhouseCoopers, Société Coopérative Full K1.4 - Operational Risk (WG) K1.5 - Liquidity Risk (WG) Graham Bastian Sven Goodhew Wagner Muehlenbrock JPMorgan Asset Management (Europe) S.à r.l. Deka International KPMG Luxembourg S.à r.l. Full Full K1.6 - Risk Management for Alternative Investment Funds (AIFs) (WG) Christoph Adamy Allianz Global Investors GmbH Full FORUM 2 - GOVERNANCE FORUM FORUM 2.1 - Conducting Officer Roles and Responsibilities FORUM 2.2 - ALFI Code of conducts FORUM 3 - INVESTOR FORUM FORUM 3.1 - Investor Forum Website FORUM 4 - TA & DISTRIBUTION FORUM FORUM 4. - TA Forum Steering Committee (TASC) FORUM 4.1 - Operations FORUM 4.1.1 - Standardisation Henry Revel Henry Denise Troy Josée-Lynda Josée-Lynda Josée-Lynda Valérie Kelly Wood Kelly Voss Bankhead Denis Denis Denis Letellier FORUM 4.1.2 - Distribution Support FORUM 4.1.3 - Alternative Investments Operations FORUM 4.1.5 - Regulatory Impacts Steve Sue Pierre Bernat Lee Mottion FORUM 4.1.6 - TA Reporting Mario Mantrisi Forums KellyConsult S.à r.l. RBS (Luxembourg) S.A. KellyConsult S.à r.l. Franklin Templeton Investments Kneip Communication S.A. Agence de Transfert de Technologie Financière Agence de Transfert de Technologie Financière Agence de Transfert de Technologie Financière Society for Worldwide Interbank Financial Telecommunication Lemanik Asset Management S.A. HSBC Bank plc, Luxembourg Branch BNP Paribas Securities Services, succursale de Luxembourg Kneip Communication S.A. David Zackenfels Anna Prihodova Alexander Fischer Open Open Full Open Open Full Full Full Full Full Full Full Full FORUM 4.1.7 - Luxembourg Infrastructure Sue Gary Lee Janaway HSBC Bank plc, Luxembourg Branch Schroder Investment Management (Luxembourg) Full FORUM 4.1.8 - TA Survey 2013 François Josée-Lynda Génaux Denis PricewaterhouseCoopers, Société Coopérative Agence de Transfert de Technologie Financière Full FORUM 4.1.9 - TA Dematerialisation Pierre Mottion Full FORUM 4.2 - Communication FORUM 4.2.1 - Marketing & Communication FORUM 4.2.2 - Events FORUM 4.2.3 - TA Training programme FORUM 4.2.4 - Industry Associations : Building Bridges Josée-Lynda Josée-Lynda Josée-Lynda Josée-Lynda Marco Denis Denis Denis Denis Attilio FORUM 5 - ABBL/ALFI DEPOSITARY BANK FORUM FORUM 5.1 - Depositary Bank Forum Steering Committee FORUM 5.2 - Depositary Guidelines & Best Practices Martin F. Martin F. Yvan Dobbins Dobbins de Laurentis Christian Ridole BNP Paribas Securities Services, succursale de Luxembourg Agence de Transfert de Technologie Financière Agence de Transfert de Technologie Financière Agence de Transfert de Technologie Financière Agence de Transfert de Technologie Financière Society for Worldwide Interbank Financial Telecommunication State Street Bank Luxembourg State Street Bank Luxembourg BNP Paribas Securities Services, succursale de Luxembourg J.P. Morgan Bank Luxembourg S.A. FORUM 5.2.1 - In-Banks Assets FORUM 5.2.2 - Not-In-Bank Assets FORUM 5.2.4 - Oversight Duties Christoph Christoph Christopher Christian Haas Lanz Stuart Sinclair Ridole EY Edmond de Rothschild (Europe) Deloitte Luxembourg J.P. Morgan Bank Luxembourg S.A. FORUM 5.2.5 - Training & Education Yvan de Laurentis FORUM 5.3 - External Relations Franck Wassmer BNP Paribas Securities Services, succursale de Luxembourg The Bank of New York Mellon (Luxembourg) S.A. FORUM 5.4 - New Regulations Forum Hermann Beythan Linklaters LLP Full Full Full Full Full Alexander Fischer Full Only Chairpersons Open Open Full Open Full Full Open
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