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Distribution Risk & Oversight


Distribution Risk & Oversight 2022

Exceeding compliance with CP86 and CSSF 18/698 to provide holistic distribution oversight and enhance the investor experience

Understand how the largest asset managers and distributors are exceeding compliance requirements, providing holistic oversight and delivering actionable commercial & risk data

Benchmark your distribution oversight practices against the industry

Understand how Heads of Distribution Oversight and Conducting Officers are working to refine their distribution oversight frameworks as industry policies and practices mature.

You'll be able to compare your current practices against your peers, as well as understand how much resource organisations are dedicating to distribution oversight to achieve their aims.

Explore what the innovations and future commonly accepted practices will be now, so you can begin to prepare and implement them.

Funds are enhancing their distribution framework to exceed CP86 and CSSF 18/698 requirements

Meet the ongoing requirements of CP86 and CSSF 18/698

Attend the event to learn how the regulatory requirements are evolving and how the investment managers, third party distributors, distribution services and ManCos are shaping their risk practices in line with the regulation.

With the possibility of regulatory requirements increasing, in line with recent fine and sanction activity, now is the perfect time to get ahead of the potential regulatory expectations.

Align your distribution oversight practices to the converging industry standards

Distribution oversight practices such as DDQs are slowly harmonising between funds, distributors, ManCos and wider stakeholders.

Take advantage of the efficiencies by matching your practices against your peers to ensure greater engagement and speed of compliance.

Utilise distribution oversight data for commercial advantage

From Board-level MI to uncovering distribution trends and commercial opportunities, learn how funds and distributors are taking advantage of the increased data that distribution oversight practices are generating.

Establish the standards around delegation and substance

With expectations around levels of fund delegation and substance potentially changing, you can gain insight into the appropriate and required levels of delegation and substance, as well as sub-distribution oversight practices that other funds are employing as well as future compliance requirements.

Maintain oversight over ESG and sustainability-linked product

Explore how funds are classifying their product under SFDR, as well as the current thinking around further fund disclosure activities that funds are employing to ensure that have complete oversight over their ESG distribution to mitigate against mis-selling.

Meet the Heads of Distribution, Oversight & Conducting Officers

Catch up with the asset managers and distribution leads who are responsible for delivering distribution oversight. Understand how they are shaping their policies to deliver both complete compliance and actionable data that can be used to identify commercial opportunities, manage risk and improve the customer experience.