January 15, 2019
Is your Operational Due Diligence Program Equipped to Handle New Regulatory Changes in 2019? Signup for Corgentum's Next Webinar to Find Out
2019 brings with it a new series of challenges for those seeking to evaluating operational risk in fund managers as part of the operational due diligence (ODD) process. Corgentum Consulting announced today that it will be hosting the first webinar in its 2019 series. This webinar will focus on emerging trends in investor operational due diligence (ODD) approaches for hedge fund and private equity for 2019 with a key focus on updates on US SEC and UK FCA regulatory exam priorities. The session will take place on Wednesday, January 23, 2019 beginning at 10:30am EDT. Signup today!
Topics that will be covered during the webinar include:
- How to develop and implement an action plan for effective ODD in 2019
- Update your compliance analysis strategies –
- How will Brexit impact fund managers in the UK and across Europe?
- Examining the impact on alternative fund managers as a result of evolving regulation including the
UK Senior Managers Regime (SMR) ,
General Data Protection Regulation (GDPR) ,
European Markets in Financial Instruments Directive II (MiFID II) , and
Packaged Retail Investment and Insurance-based Products (PRIIPs)
- Conflict of interest analysis - Review of current frameworks with a focus on deal allocation and co-investments
- Understand 2019 UK Financial Conduct Authority (FCA) examination priorities including an increased focus on marketing material disclosures, fund manager cybersecurity and third-party service provider risk management
- Analyze 2019 US SEC examination priorities in the areas of best execution, fees and expenses, oversight of the use of third-party marketers including the Cash Solicitation Rule (Rule 206(4)-3) , and analysis of electronic communication messaging usage and archiving as per the Books and Records Rule (Rule 204-2)
- How to best
integrate your ODD and background investigations
If you are interested in attending the upcoming webinar, please signup here .
Space is limited, and priority access will be provided to premium subscribers of Corgentum's monthly newsletter, Due Diligence News . If you are not already a premium subscriber of our newsletter you can contact us to learn more.