Thu, May 7, 2020
Investment managers are inevitably experiencing numerous obstacles in this challenging environment. First, they must fulfill their portfolio management responsibilities. Likewise, they must ensure their middle and back office teams are functioning properly.
Duff & Phelps has identified four areas to review during a mock regulatory examination that add significant value to advisory businesses during this time:
With the current environment, these four areas pose as potential risks for advisers as well as areas that require improvement. Duff & Phelps can help firms navigate by either conducting a limited scope mock examination of these four areas or providing enhanced consultation with our experts.
Investment managers should be asking themselves the following questions:
Are Our Disaster Recovery Procedures Working During This Time?
Have We Had Any Actual or Attempted Cyber Security Intrusions During This Time?
How Are We Ensuring the Privacy of Investor Information During This Time?
How Are We Valuing Thinly Traded and/or Illiquid Investments During This Time?
Reach out to the Duff & Phelps Compliance and Regulatory Consulting team for more information.
Visit the Duff & Phelps Coronavirus Resource Center for more insight.
End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.
With expertise in diverse regulatory frameworks, including the FCA, the SEC, AMF, SFC, MAS and more, Kroll offers practical support, from initial authorization to ongoing compliance support.
With expertise in diverse regulatory frameworks, including the FCA, the SEC, AMF, SFC, MAS and more, Kroll offers practical support, from initial authorization to ongoing compliance support.
Practical data privacy solutions from cyber security, compliance and valuations experts.