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When the FCA conducted its Thematic Review of Outsourcing in the Asset Management Industry, the regulator was concerned that only a few managers were able to demonstrate high standards of oversight across their outsourced activities.
This practical one day workshop is intended to provide staff with the appropriate knowledge and skills to provide effective fund oversight. The programme will cover all aspects of fund management and operations with particular emphasis on high risk areas in fund accounting and transfer agency. Some previous knowledge of funds is assumed*.
It will include case studies of pricing errors, investment & borrowing power breaches, rectification programmes and failures of fund governance together with examples of oversight questionnaires and reports. The particular concerns of the FCA when reviewing fund managers will also be examined
Making extensive use of CASE STUDIES and practical EXAMPLES, the course will help fund professionals:
This event will be of value to anyone with fund oversight responsibilities, including Operations and First Line of Defence, Risk Managers, Compliance Monitoring Teams and Internal Audit at Fund Managers or TPAs.
Topics covered may include but are not limited to:
Fund Governance and Oversight
Developing Effective Control Environments
Roles and Expectations of the Depositary
Oversight of Third Parties
The FCA Review of Outsourcing Oversight