05 Dec 2019, London
9:15am to 4:30pm
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 professionals, Risk Managers, Compliance Monitoring Teams and Internal Audit at Fund Managers or TPAs.
*A basic knowledge of funds is expected, which can be achieved by attending our half-day Introduction to Authorised Funds.
Vivien Crayston is a management consultant with 26+ years’ experience of fund administration, transfer agency and fund accounting / pricing for both traditional and hedge funds. She has occupied senior fund administration positions in South Africa and London and has been a fund management consultant for over 10 years, advising both large and boutique asset managers. Vivien is a Chartered Member of the Chartered Institute for Securities and Investments holding MSCI qualification.
|Fund Governance and Oversight||
|Developing an effective Control Environment||
|Investment and Borrowing Powers||
|Role and Expectations of the Depositary||
|Oversight of Third Parties||
|FCA Review of Outsourcing Oversight||
This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.Please contact us to discuss your requirements in more detail and at no obligation.