Sanctions Risk: Keeping up with Regulatory Expectations and Best Practices for Asset Managers
Asset managers have long grappled with the difficulty that sanctions pose to the investment process. Historically, comprehensive country-level sanctions were easier to screen for than those resulting from an indirect relationship with a sanctioned entity. However, the proliferation of sanctions at all levels, coupled with the complexity of corporate and investment structures, have made even the most obvious cases harder to spot in recent years. The nexus to a sanctioned entity often is the devil in the details. Your investment may be closer than you think, and penalties can apply on a strict liability basis.
On April 12, AIMA will host a discussion with Howard Mendelsohn, Chief Client Officer of Kharon, a leading research and data analytics firm focused on sanctions at all levels, in all jurisdictions. We will dive into the regulatory landscape, review case examples, and discuss best practices for keeping your firm safe.
Join us for this timely and informative webinar. You may submit questions in advance or live during the session.
- Howard Mendelsohn, Chief Client Officer, Kharon
- Suzan Rose, Senior Advisor, Government & Regulatory Affairs, AIMA