9 August 2021
On 5 August 2021, Jeremy Lam, Head of Deacons’ Financial Services practice delivered a webinar providing practical compliance guidance for asset managers.
Jeremy discussed the impact of the ongoing regulatory focus on conduct and senior management responsibility as well as the tensions between rules and principles based regulations. The webinar includes a case study concerning a recent financial default and how the lessons learned might be applied within your own organisation in seeking to strengthen compliance and risk management with the benefit of hindsight.
Jeremy’s closing observation is that while hindsight is beneficial in terms of lessons learned, a crucial takeaway in seeking to maintain a robust compliance and risk management infrastructure is to strive to undertake compliance with sufficient foresight having regard to what he identified as the 5Ps: people; process and procedures; practice; performance review; and priorities.
If you are interested in watching a recording of this webinar, please click on the link below, which will be available until 10 September 2021.
