MAY 10 @ 4:00 PM – 6:00 PM

Session 2:

  • Identifying the risks and drafting an effective compliance monitoring plan e.g. difference between a fund, fund manager, investment firm, fund administrator and explaining the nature, different types and classifications of risks
  • Ongoing monitoring of the operations of the company and compliance reviews
  • Checks which the compliance officer should be carrying out internally and on third party service providers