Governance and Compliance
Risk Management, Governance and Compliance are essential in any form of management of investments, whether it is in the investment of pension assets, insurance assets, fund assets or any other assets.
In broad terms, everybody is responsible in the management of investment needs to be clear on:
- Which investment decisions can be made
- When, and under what circumstances, do you need investment advice or assistance
- When, and on what terms, you should delegate investment decisions
- If all decisions taken are clearly recorded
- Regulatory compliance requirements
- Understanding the risks versus the rewards in investment activities
- The importance of risk management in any investment activities
We can guide and assist you in a wide range of investment-related governance and compliance issues, focusing on what is essential, mandatory or voluntary, and what, in our experience, is deemed best practice.