SEBI came up with Risk Management Circular for Mutual Funds, mandating various measures to improve overall risk governance. The same can be applied with some modifications by other investment and advisory houses like PMS, AIF, Invites, Bank Treasury Risk Management, Investment Advisors, Private Banking, and Wealth Management. The training will focus on the below areas of measures taken by SEBI and practical aspects of implementing the same:
Early Warning Signal
Conflict of Interest Resolution
Positioning of independent Risk Management v/s Compliance, CFO
Credit, Liquidity and Market Risk Management
D&O E&O Professional Indemnity Insurance
R&CSA, Stress Testing, Fraud Risk Register, ERM, KRI, and various other measures.