16 Apr 2020
Fund Intelligence Virtual Symposium: Compliance – risk management strategies across the fund complex
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The Fund Intelligence Virtual Symposium is a new weekly webinar series designed to tackle the most pressing topics facing the asset management industry emerging out of the current Covid-19 pandemic.

Fund Intelligence will be hosting a range of industry experts to delve into the key issues facing the sector and provide practical insights for navigating these uncertain times.

Register & view the full webinar schedule >

These free to attend sessions will ensure you and your teams are kept up-to-date with how your peers, clients and vendors are handling the current landscape with practical advice on mitigating business risks and seizing market opportunities.

All sessions will be interactive with Q&As with our expert panels throughout.

Moderator: Peter RawlingsFund Intelligence

SpeakersTamara Salmon, Associate General Counsel, ICI

More speakers to be announced shortly

Discussion points:

Compliance risk mitigation strategies for fund groups

  • Assessment of the major business risks compliance teams have been focusing on
  • How are regulators functioning and monitoring the sector during this period of disruption?
  • Overview of the various reliefs on offer to asset managers and how they have been working in practical terms
  • Ensuring compliance with data privacy rules and sensitive business information in a work-from-home environment
  • Assessing the biggest compliance headlines in a WFH setting, including trading rules for PMs and other trading staff
  • Dealing with the rising levels of cyber attacks as bad actors look to take advantage of the current situation
  • Keeping compliance teams productive and engaged during a sustained WFH period
  • Any positive lessons learned in terms on compliance and governance standards, particularly around remote working?
  • Advice and guidance around the 15(c) process given the current remote working conditions
  • How has compliance with liquidity requirements fared amid the market stress caused by the pandemic?
  • Will examiners be reviewing business continuity plans as they have during past periods of disruption?

Compliance – risk management strategies across the fund complex
Thursday, April 16
12:00pm ET/ 9:00 PT

Register & view the full webinar schedule >

Request attendence