In recent years, onsite inspections that target all types of regulated actors in the financial sector have significantly increased.
The governance of supervised entities is one of the key topics on which regulators are focussing during onsite inspections. In this respect, the granularity of the questions has increased dramatically, along with the regulators’ expectations with regard to a firm’s policies, procedures and documentation.
Onsite inspections for investment fund managers, investment firms, banking institutions, PSFs and insurance companies can take place at any time. Therefore, it is imperative to be adequately prepared to face such inspections and avoid any adverse outcome.
Taking this into consideration, our experts Francis Kass (Investment Management Partner), Dr. Michael Daemgen (Arendt Regulatory Consulting Partner) and Frédéric Schmit (Banking & Financial Services Senior Associate) will guide you through the legal and practical challenges faced by regulated entities before, during and after onsite visits and help you efficiently and adequately anticipate such situations. The session will be moderated by Carsten Opitz, Partner within our Corporate Law, Mergers & Acquisitions practice and Head of Arendt’s Corporate Governance Centre (firstname.lastname@example.org).
The webinar will focus on onsite inspections regarding the governance of regulated entities and will provide you with:
- An overview of the general expectations from regulators;
- Insights as to what happens in practice in the context of an onsite inspection; and
- Best practices to get prepared for such inspections.
Questions from participants are welcome in our live interactive session hopefully allowing for great key takeaways.
Feel free to forward this invitation to any colleague or client who may be interested. Should you have any questions, please contact email@example.com.