16 Apr 2020
Fund Intelligence Virtual Symposium: Compliance – risk management strategies across the fund complex

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.

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


Tamara Salmon, Associate General Counsel, ICI

Steven Yadegari, Chief Operating Officer & General Counsel,  Cramer Rosenthal McGlynn 

Phillip Gillespie, Senior Counsel, WilmerHale

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