October Fund Manager Training - Singapore


How to Handle a Regulatory Investigation

Regulators have their sights firmly focussed on asset managers and are cracking down on regulatory failures. 

Are you ready?

Regulatory investigations carry potentially severe consequences. Knowing how to handle these kinds of investigations can prevent an already bad situation from getting worse, minimise disruption and deliver the best outcome for the business.

In this workshop, we will discuss best practice in handling regulatory investigations, particularly those with a cross-border element. Legal and practical issues include:

  • Reporting considerations
  • Maximising privilege protection
  • Data protection/information sharing
  • Tensions between individuals and the firm
  • Tips for conducting interviews

The session will also touch on key areas of regulatory scrutiny in the asset management industry and future regulatory enforcement trends.



Robert Turner, Partner, Simmons & Simmons LLP, London

Joanna Pearson, Partner, Simmons & SImmons JWS, Singapore

Shaun Lee, Supervising Associate, JWS Asia Law Corporation, Singapore


Please note these sessions are open to managers only and there is a limit on the number of attendees per firm. To register, please email ggoh@aima.org

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