10d. ALL – Internal Risks: Due Diligence Processes (Intermediate)

The term “due diligence” has multiple applications in our industry and is a focus area by securities regulators ? as evidenced by recent enforcement cases. While this session will focus on both initial and ongoing due diligence of service providers, sub-advisors, and third-party portfolio managers, participants will also learn best practices to help them improve existing due diligence practices.

Learning Objectives:

  • Understand regulatory guidance and learn from recent enforcement actions
  • Discuss how to draft reasonable policies and procedures for due diligence
  • Maximize the effect of due diligence checklists, questionnaires, and onsite visits while maintaining both integrity over the process and eliminating potential conflicts of interest
  • Learn how to identify, manage, and escalate issues discovered during the due diligence process


Sponsored by:

Intermediate                        Program Level: Date: October 21, 2020 Time: 11:45 am - 1:00 pm Brad Ahrens Myles Blechner

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(860) 672-0843 info@nscp.org