Fund Managers Briefing Compliance
“What’s New, What’s Next,
What’s Enough?”
From January to December 2019, over 60 financial regulations and updates have been issued. Many of these new rules may entail an operational revamp for fund managers – from policy revisions, workflow processes, staff training and to important notices to your clients.
With a surge in regulatory obligations, CEO-Fund Managers – as the key officers responsible for compliance – must wish to know:
- Have we accounted for all the updates?
- What implementations to apply to current policies and procedures?
- What more to expect moving forward?
- How can we effectively allocate resources to our compliance function?
LICENSED FINANCIAL ADVISER – RISK & COMPLIANCE SEMINAR
Description:
LICENSED FINANCIAL ADVISER – RISK & COMPLIANCE SEMINAR (2021/22)
WHY ATTEND?
- Know the key risks impacting the industry
- Understand the implications of new and impending regulations
- Augment risk operations for business recovery in 2022
WHO SHOULD ATTEND?
- LFA Management
- LFA Representatives & Supervisors
- LFA Compliance Officers
TOPICS:
- Enforcement Actions
- Personal Data Protection
- Technology Risk Management
- Disciplinary Action
- Business Continuity Management
- Complaints Handling & Resolutions
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