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Investment Compliance Monitoring: Leading Practices and Issues to Consider

Deloitte Dbriefs | Private Equity, Hedge Funds & Mutual Funds

Start date and time

December 3, 2013 2:00 PM

End date and time

December 3, 2013 3:00 PM

Time zone:

(GMT-05:00) Eastern Time (US & Canada)

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Host: Mike Fay, Principal, Deloitte & Touche LLP
1 Intermediate CPE Credit: Specialized Knowledge & Applications

Investment compliance continues to be a focal point and challenge for investment management firms that routinely grapple with increasing the effectiveness of monitoring while optimizing efficiency. How has investment compliance monitoring evolved and what direction is it headed? We'll discuss:

  • How the elements of discipline apply to investment compliance monitoring.
  • Recent observations with respect to technology build vs. buy decisions.
  • The three lines of defense related to investment compliance monitoring.
  • Other trends and issues related to establishing, executing, and maintaining an effective investment compliance monitoring function.

Learn how investment managers are responding to the current and emerging challenges and the resulting implications to their investment compliance monitoring functions.

register or view webcast

Please note: CPE Credit is not available for viewing archived programs.

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Program Guide
Webcast Calendar
CPE Information
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Event registration is closed.

Host: Mike Fay, Principal, Deloitte & Touche LLP
1 Intermediate CPE Credit: Specialized Knowledge & Applications

Investment compliance continues to be a focal point and challenge for investment management firms that routinely grapple with increasing the effectiveness of monitoring while optimizing efficiency. How has investment compliance monitoring evolved and what direction is it headed? We'll discuss:

  • How the elements of discipline apply to investment compliance monitoring.
  • Recent observations with respect to technology build vs. buy decisions.
  • The three lines of defense related to investment compliance monitoring.
  • Other trends and issues related to establishing, executing, and maintaining an effective investment compliance monitoring function.

Learn how investment managers are responding to the current and emerging challenges and the resulting implications to their investment compliance monitoring functions.

register or view webcast

Please note: CPE Credit is not available for viewing archived programs.

Related Content
Email to a colleague
Subscribe to Dbriefs
Program Guide
Webcast Calendar
CPE Information
Webcast Help
Dbriefs FAQs
Update My Dbriefs Profile
Dbriefs Homepage
Email Dbriefs

Event registration is closed.