Key Considerations for Investor ODD / Regulatory Inspection

Topics being covered at this session include:

• How have you been preparing for a regulatory inspection by the SFC?
• Have you taken into consideration the possibility of an SEC or CFTC/NFA examination for HK based manager?
• How are you preparing for additional asset inflows and are there any additional ODD considerations more sophisticated investors are now demanding? Are you working to ensure full compliance with US SEC and CFTC rules and regulations related to US marketing and US managed accounts?
• What types of specific areas are institutional investors focusing on when conducting ODD in Asia?   
• What are the most urgent institutional investors questions, and how have they changed over the past few years in related to your ODD process?
• Is your CCO, COO and CFO adequately involved in your ODD process, along with your senior investment team? To what extent do they communicate directly with your prospective investors?
• What privacy policies do you have in place to prevent misuse of data? How are you handling GDPR?
• How are issues surroundings cyber-threats, vendor due diligence and the evolution of technology changing how you tackle ODD?  

Speakers:

Nicholas Inman

Head of Asia Compliance and Regulatory Consulting, Duff & Phelps

Aaron Weiss

Director of Compliance and Regulatory Consulting, Duff & Phelps

PLEASE NOTE:  This event is for Manager Members only

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