5f. ALL – LAB – Delving into Investment Due Diligence


This lab will explore the importance of having adequate, current, and relevant due diligence, oversight and governance programs designed to help determine the potential risks of investments being recommended to clients. Attendees learn through interactive small and large group discussions on best practices, regulatory expectations, and enforcement cases.
Learning Objectives:
• Discuss the importance of establishing a robust supervisory and oversight process
• Review regulatory expectations related to due diligence programs surrounding the frequency and types of investment being made available on a firm’s platform and subsequently being recommended to retail customers
• Analyze different sources of information (e.g. marketing materials, performance fact sheets, offering documents, third-party research provider tools, due diligence questionnaires, etc.) to understand the value that each can bring to the due diligence process
• Discuss how conflicts of interests may arise during the due diligence process and potential controls to help manage and mitigate the conflicts

Sponsored by

Basic                        Program Level: Lab Date: November 9, 2021 Time: 10:00 am - 11:15 am Mario Chilin Melanie Mendoza Christine Warner

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