Outsource Controls Framework:
Exploring the challenges that Investment Managers will fadein evidencing control over outsource arrangements under SMCR
Getting Control of End User Computing:
Looking at the challenges of getting control of end user computing, particularly in light of the introduction of SMCR on 9th December 2019
Oversight and Controls Framework over 3rd Party arrangements:
Expanding on the previous 'Outsource Controls Framework' White Paper and introducing the challenges of evidencing oversight over intra-group arrangements, offshoring and ManCo's
Financial Crime Prevention:
Is it time to take a new approach to Financial Crime Prevention? Increasing your spend and resourcing on AML/KYC isn't always the answer as there may be a better way...
SMCR for Investment Managers:
Giving and overview of what is needed to put in place SMCR by Investment Managers
Distributor Due Diligence:
Asset Managers are increasingly engaging Distributors for the global distribution of their UCITS Funds. What level of distributor due diligence should be applied and what are the best practices?