Fines Archives | risksystem

ManCo Risk

We talk a lot in the financial services industry about potential fines and/or enforcement action from non-compliance with regulation. What are the risks and what are the potential fines? From the point of view of a Management Company a key risk has to be a “blow-up” of a fund on the platform that can lead […]

December 7, 2017, by administrator

Large Fines are Coming

Non-compliance with AIFMD risk management obligations could lead to (very) large fines for asset managers As we pointed out last summer in back to the future , but its worth repeating, for the first time in the history of asset management, risk management is on a par with portfolio management as a result of AIFMD. From […]

March 4, 2015, by administrator

Risk Management and Brand Reputation

The Invesco Perpetual Fine – our thoughts: The Link with Risk ManagementCompliance and Brand Reputation By now most people in the financial markets know that Invesco Perpetual have been fined £18.6m (with a 30% discount for agreeing to settle early) by the Financial Conduct Authority for breaching investment limits and introducing leverage into funds. The […]

May 20, 2014, by administrator

Tag: Fines

ManCo Risk

Large Fines are Coming

Risk Management and Brand Reputation

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