Operational Risk Management & Due Diligence: Under the Hood of Alternative Investment Funds

Canada Due diligence Risk management

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Operational risk management has evolved into one of the biggest concerns investment managers face as a result of technological advancements, the growth of organizations in both size and complexity and the development of multi-faceted networks of products and services, alongside the continued need for robust initial and ongoing due diligence, investor transparency, sound valuation methods and management of conflicts of interest.

Dive into key insights outlined in AIMA’s Guide to Sound Practices on Operational Risk Management and supplementary Risk Tables, including key frameworks, preventative and detective controls and effective risk mitigation processes overall to best mitigate risks.

Topics will include:

Trade reporting and cash movements
Business conduct and reputational risk
Counterparty risk
Fraud and financial crime risk
Independent controls and managing conflicts of interest
Sound valuation methods
Initial vs ongoing due diligence

Panelists:

David Pearlman, Partner & Operational Due Diligence Analyst, Albourne Partners
Darin Renton, Partner, Stikeman Elliott LLP
Dominic Whitaker, Senior Vice President, Fund Services, Maples Group
Laura Erwin, NAMR Delivery Head, Private Valuations Services, IHS Markit