JFA Masterclass- Oben to present
Nicola Ingram and Sharon Wake will be speaking at the JFA Risk and Regulatory Masterclass on 5 June 2019
Nicola Ingram and Sharon Wake will be speaking at the JFA Risk and Regulatory Masterclass on 5 June 2019. The topics for discussion, amongst others are:
– Scope of control framework for MoME, Nanaged Entity and Fund: understanding the boundaries
-BRAs and CMPs- how they link and inform each other
-AML/CFT- Customers and Clients
Advocate David Wilson will also be presenting “When the Wheels Come Off”
-How did it happen? examples of how things can go wrong for funds and service providers
-Who takes the blame?- which party can expect a call from the regulator
-What are the consequences?- Civil Penalties: amounts and to whom they might apply