FundApps Roundtable

Regulatory disclosure in practice

By invitation only

Regulatory expectations across investment banking and asset management are evolving at pace often unevenly, and rarely with simple answers. For senior compliance leaders, the challenge isn't just tracking the change; it’s deciding how to lead through it.

FundApps invites you to an invitation-only executive roundtable designed for senior leaders across Germany, Austria, and Switzerland. This is a rare opportunity to step out of the daily grind and into a room of your peers to decode the 2026 roadmap. From AIFMD II and the EU AI Act to an exclusive deep-dive into BaFin’s latest expectations on shareholding disclosure and short-sale reporting.

Join us for a morning and afternoon of high-level strategy and peer-to-peer networking to ensure your compliance process is not just functional, but future-proof.

📅 Date: Wednesday, 18th March 2026

📍Location: Frankfurt, Germany

Dirk Kaltschnee

Since 2000, Dirk has spearheaded Investment Compliance at Deka Investment. Formerly a bank auditor, he established pre-and post-trade processes for Deka's Frankfurt-managed funds. Dirk currently manages shareholder disclosures for three capital management companies (KVGs), ensuring rigorous oversight and total regulatory alignment.

Alexander Behrens

Alexander is Head of German Financial Regulatory and advises banks and other financial service providers, including FinTech companies, as well as unregulated companies on all aspects of financial regulatory law

Karl Schindler

As Lead Regulatory Expert at FundApps, Karl translates complex financial regulation into automated compliance monitoring. Leveraging 20 years of industry experience, he helps some of the world's largest financial institutions navigate regulatory challenges through technology.

Robert Andrić

Senior compliance and project management executive with over 20 years of experience in global financial institutions. He has led key regulatory compliance programs - including regulatory shareholding reporting, market conduct, and conflicts of interest

Peter Kempf

Senior Product Manager at FundApps, focusing on post- and pre-trade solutions in the Shareholding Disclosure, Sensitive Industries and Sanctions space. With a background in Political Science, he has worked in the tech and financial sector for 10+ years.

10:00 a.m. - 10:30 a.m. - Arrival, registration & buffet breakfast

A buffet breakfast will be available
Informal opportunity to connect with your peers and our speakers before we dive into the day's strategic briefings.

10:30 a.m. - 10:45 a.m. Welcome & agenda overview

Duration: 15 Minutes | Format: Welcome and introduction | Hosted by: Peter Kempf, Senior Product Manager, FundApps

10:45 a.m. - 11:45 a.m. - The 2026 Regulatory Roadmap - DACH perspectives

Duration: 50 Minutes | Format: Strategic briefing + interactive Q&A | Speakers: Alexander Behrens, Partner, A&O Shearman + Karl Schindler, Lead Regulatory Expert, FundApps

Session overview

As we approach the 2026-27 regulatory horizon, the DACH financial institutions face evolving EU-wide mandates alongside shifting geopolitical and technological realities. This session addresses EU regulatory implementation, digital infrastructure requirements, and cross-border compliance.

Session highlights

AIFMD II, UCITS VI & the horizon
The digital infrastructure shift
DACH Regional dynamics
Geopolitical compliance
AI Governance & BAIT

Bring your questions: We want to ensure you leave with a clear, actionable path forward for your 2026 compliance strategy.

11:45 a.m. - 12:45 p.m. - Buffet lunch

Duration: 60 minutes | Format: Buffet lunch

An opportunity to connect with your peers.

12:45 p.m. - 1.30 p.m. - BaFin Expectations vs. Market Practice: Shareholding Disclosure in reality

Duration: 45 Minutes | Format: Interactive discussion-led session | Speakers: Karl Schindler, Lead Regulatory Expert, FundApps + Robert Andrić, Business Consultant, FundApps

Session overview:

In this session, we'll discuss specific answers obtained from BaFin on a range of shareholding disclosure obligation details:

Independence declarations: when updates are required
Display precision: MVP portal vs. SSR rounding approaches
Corporate actions timing: disclosure dates across event types
Unlisted share classes: identifying German obligations
Unpublished guidance: CFI code-based REIT exclusions

BaFin's responses provide regulatory principles while leaving operational implementation to market participants.

Robert Andrić and Karl Schindler will walk through the questions and responses, and facilitate peer discussion on how firms apply these principles in practice.

1:30 p.m. - 2:15 p.m. - Beyond the disclosure: Scalable compliance for global markets

Duration: 45 minutes | Format: Workshop | Speakers: Dirk Kaltschnee, Risk Controller | Deka Investment | Peter Kempf, Senior Product Manager, FundApps

Session overview

We’ll break down the most common investment compliance challenges and explore how leading firms are re-architecting their internal workflows to manage increasing complexity, including:

The efficiency frontier: Decoupling AUM growth from compliance headcount by automating regulatory monitoring and eliminating the need for manual data reconciliation.
Navigating global complexity: A case study on navigating Japan's regulatory complexity and the role of guided workflows in enabling remote oversight.
Pre-trade (Ex-Ante) integration: Establishing a "global source" of data to synchronise pre-trade blocks with post-trade audits, moving from reactive mitigation to proactive prevention.

2:15 p.m. - 2:30 p.m. - Closing remarks

Duration: 15 minutes

2:30 p.m. - 3:00 p.m. Networking & refreshments

Connect with your peers.

About FundApps

FundApps is a cloud-native RegTech SaaS platform that automates compliance monitoring and reporting for the world’s leading financial institutions.

Trusted by some of the world’s largest hedge funds, asset managers, pension funds, and investment banks, FundApps monitors over $30 trillion in assets under management across 100+ jurisdictions, representing 19% of global assets under management.

Whether it's shareholding disclosure, sensitive industries, position limits, or regulatory reporting, we help clients stay ahead of regulatory change, reduce operational risk, and safeguard their reputation.

As a certified B Corp, we’re committed to doing business the right way - with integrity, transparency, and a strong ethical foundation. Good people. Good business. Good ethics. We are FundApps.