• Daniel Lawlor

Oversight of Delegates

Updated: Apr 7

FIMC Podcast on Oversight of Delegates with John Phinney

Meet John Phinney:

John Phinney

John Phinney has served as the COO, CFO, CCO and CRO at some of the largest asset managers including Fidelity, JP Morgan, Apollo, and The Rohatyn Group. He worked beside many of the industry’s finest investment minds and accumulated significant expertise designing, implementing, and managing the investment operations, compliance and risk infrastructure needed to help firms grow and thrive in an extremely competitive market. From there John sought after to fill a massive data void within the Asset Management industry and founded Convergence in 2013.

John founded Convergence on the principle of “transparency” because with transparency comes improved decision-making. Yet, transparency requires a common “language.” When John founded Convergence, no common language existed because there was no common set of facts that reasonable professionals could use to communicate. And when there are no facts to support a conversation, the language used is meaningless.

Convergence created a common language and, while not perfect, it is sufficient to create the language used to discuss complex problems facing all constituents in the asset management industry. John came to market with an early yet provocative set of ideas aligned against the singular goal of “helping asset managers, their investors and service providers grow revenue, improve efficiency and identify and manage risk.”

You may connect with John through the following sites:



Meet Daniel Lawlor:

Daniel Lawlor

As the former head of the Central Bank of Ireland’s Funds Policy Team and the Central Bank’s Project Lead on CP86, Daniel was involved in designing, drafting and implementing regulatory initiatives affecting the funds industry from 2010 to 2017.  Investment Funds Lawyer for 9 years at William Fry, one of Ireland’s leading law firms.

Today, Daniel Lawlor is MD of Aquest; a boutique firm dedicated to improving your experience with the Financial Regulator.  

You may connect with Daniel through the following sites:

Website LinkedIn




The way that ManCos go about supervising their delegates, particularly the investment managers, is changing. Regulator expectations about the depth and quality of delegate monitoring are increasing with intrusive oversight and constructive challenge the order of the day. In this episode, I'm joined by John Phinney of Convergence to chat about his upcoming CP86 MiniCon session on emerging best practices in delegate oversight. We chat about how ManCos can plug into new and easy-to-use data sources to bolster their oversight. We also chat about the changing dynamic of the relationship between ManCos and investment managers - how will investment managers feel about this new intrusive approach?

You can listen to the conversation on:

Website, Spotify, Apple iTunes, Google Podcasts, Stitcher or here on YouTube

A transcript of the conversation is available for download:

PDF • 156KB

About FIMC

Funds Ireland Mini Con (FIMC) is a collective space dedicated to transforming challenge into best practice, with and for, the Irish Authorised Funds Industry.







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