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Investor Relationship Risk Management-Online Webinar

Thursday, Apr 06, 2017 at 10:00AM - 1:00PM

Online Event

  • Apr 2017

    06 Thu

    10:00AM

  • Apr 2017

    06 Thu

    1:00PM

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Investor Relationship Risk Management-Online Webinar

Thursday, Apr 06, 2017 at 10:00AM - 1:00PM

Fremont, CA

No tickets available

Description
The webinar will address all aspects to be considered in establishing correct performance understanding and expectations. In addition to these primary elements impacting a firm's relationship with an investor, a number of other investor relationship elements will be reviewed in this webinar as well.

To manage an investment relationship with a client, there are a number of safeguards that an investment management firm must employ to reduce or eliminate the potential for incorrect performance understanding or expectations.

Objectives of the Presentation
This webinar will institute for firms providing investment services to clients, a detailed framework for addressing the appropriate standards needed for establishing:
  • An effective client profile for its investors in the context of its investment relationship with a client
  • An effective investment product profile with respect to investments being positioned with a client
  • An effective investment transaction profile with respect to investments being positioned with a client
  • An effective disclosure methodology with respect to its communications with clients
  • An effective methodology for ensuring clients understand the performance considerations associated with their investment decisions
Why Should you Attend
Learn to establish for firms providing investment services to clients, a detailed blueprint for addressing the appropriate standards for ensuring that its staff, with investor interaction, has a full understanding of the considerations necessary to avoid investor relationship risk events.

Areas Covered
  • Understanding the nature of investor relationship risk
  • Understanding risk consequences associated with an actual or perceived failure in an investor relationship
  • Detailed review of suitability standards
    • Individual investor profile
    • Institutional investor profile
    • Investment product profile
    • Investment transaction profile
  • Detailed review of disclosure standards
    • Written and verbal
      • Client specific
      • Non client specific
  • Detailed review of investment performance understanding and expectation standards
    • Safeguards to employ to address investment performance understanding and expectation by an investor
  • Review of other factors that may impact a relationship with an investor
  • Review of case studies that display a lack of investor relationship standards
Who will Benefit
  • Commercial bank - Investment managers
  • Independent investment managers
  • Investment advisors
  • Private bankers
  • Broker/Dealers
  • Investment banks
  • Family offices
  • High net worth individuals
  • Risk managers
  • Compliance managers
  • Auditors
  • Regulators with investment oversight responsibilities
  • Universities and colleges with business and investment management curriculum in their degree programs
For Registration
http://onlinecompliancepanel.com/webinar/INVESTOR-RISK-MANAGEMENT-507065/MARCH-2017-ES-EZEVENT

Note: Use Promo code DE5YU and get 10% off on registration (Valid till APRIL 30th 2017)

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