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Investment Governance, Risk and Controls

Driving robust, sustainable and contemporary approaches within investment and wealth organisations

How robust is your approach to investment governance, and your associated management of risks and controls?

We work with our clients to review and/or design robust, contemporary investment governance and risk frameworks.

1. Investment governance

We help asset owners and asset managers review and enhance investment governance frameworks to improve client and beneficiary outcomes. This includes a focus on governance of investment products and the methods of measuring, reporting on and acting on factors impacting outcomes to members / investors.

2. Investment risk

We advise clients on their investment performance measurement and investment risk frameworks, as well as investment management processes (including rebalancing, overlays management and external manager monitoring).

3. Investment operations

We help investment and wealth organisations to assess their investment operations (unit pricing, cashflow processing, asset valuation policies, trade execution, reporting, interaction with service providers) for adherence to regulatory guidance, standards and better industry practice.

4. Improving operational governance

We help investment and wealth organisations assess and improve their overall governance universe, bringing efficiencies and clarity to the 'whole' to complement the focus on individual constituent parts of the governance model.

5. Controls assessment

We assess the design and operating effectiveness of frameworks, processes and related controls. This enables organisations to have confidence that their systems, processes and risk management procedures are operating effectively within a well-controlled environment.

6. Internal audit

We work with our clients to help them have the right processes and controls in place and also advise on how to effectively manage risks including assisting them to think about emerging risks, strategies and operational objectives.

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