Potential Consequences of Fiduciary Risk and the Roles and the Positioning of Fiduciary Risk Management in the Organization 2015

Topics

• Understanding the nature of fiduciary risk
  • Fiduciary risk events
  • Fiduciary risk conditions
  • Fiduciary risk consequences
• Understanding the nature of fiduciary responsibility
• U.S. laws and regulations governing fiduciary relationships
• Establishing the presence of fiduciary risk responsibilities
  • Nature of fiduciary roles and responsibilities
  • Entity specific
• Corporate management of fiduciary risk
  • Committee charter
  • Management committee
  • Oversight role
  • Fiduciary risk policies and procedures
• Evaluating the causes of fiduciary risk events - Role and responsibility specific
  • Personal trust
  • Asset management
  • Investor services
  • Corporate trust

Who should Attend

• Senior managers of asset management firms
• Senior bank managers of fiduciary businesses
• Staff with personal trust responsibilities
• Staff with asset management responsibilities
• Staff with investor services responsibilities
• Staff with corporate trust services responsibilities
• Compliance managers with oversight responsibility of fiduciary businesses
• Risk managers with oversight responsibility of fiduciary businesses
• Regulator staff
• Auditors of fiduciary businesses
• Educational programs at the university level