Investor Relationship Risk Management-Online Webinar

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

Event Details

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

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

Organization Details

Online Compliance Panel (OCP) creates and delivers comprehensive industry relevant training sessions. These sessions are simple, interactive and cost effective. We are a predominantly web based information exchange forum. Live interactions on compliance training make the process holistic and effective. OCP largely emphasizes in offering regulatory compliance training to compliance professionals on varied topics. These primarily include risk management, quality management, corporate compliance and other regulatory compliances. Some of our primary areas of focus include advancement and updates in regulatory compliance, best practices and market trends.

We strive to incorporate high standards in developing a culture facilitating exchange of ideas resulting in functional excellence. OCP believes in nurturing ideas and thought processes through innovative e-learning methodologies. Our products and services are designed to offer customized solutions to industry and market. We bridge the gap between experience and knowledge thus delivering original and creative content.

Our objectives of employing interactive mediums ensure effective communication and mutual exchange of ideas. OCP closely follows best practices and regulatory trends in the global compliance scenario. We also observe and communicate trends witnessed in FDA, ISO regulations, process and design validation. All updates and additions to important laws can be accessed by our customers in real time.

Our mission is to empower compliance professionals through effective online training sessions. Our world class training methodologies stem from comprehensive understanding of client requirements. The content conforming to FDA and ISO standards is developed by well qualified and experienced industry leaders. Our offerings will exceed expectations and add value to your investment.

The content in various categories such as medical devices, pharmaceuticals and biotechnology will raise the bar in terms of quality already on offer .We hope to contribute to the creation of responsible organizations creating benchmarks in quality, integrity and transparency.

Online Event
38780 Tyson Lane, Apt 210
Fremont, CA 94536

Starts April 06, 2017 at 10:00AM - 1:00PM

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Contact Information

Organization: Online Compliance Panel LLC

Event Contact: OCP Panel

Phone: 15108575896