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Top 10 risks for asset management

A ten-episode video and podcast series highlighting the areas of most risk that asset managers currently face in the UK.

24 November 2021

Publication

This is a podcast series for the Asset Management sector. It explores the Top 10 disputes risks for Asset Managers and will run between 22 September and 24 November 2021, with weekly episodes uploaded on a Wednesday at 9am. The series will cover ESG disputes, Managing conflicts of interest, Market abuse, Financial crime, Disputes over control, Culture and conduct, Business protection, Competition, Transactions in distressed markets, Data handling and data breach.

You can subscribe to our podcast via Spotify and iTunes, or subscribe here to receive updates relating to the asset manager sector.

Not a podcast listener? We’ve created the same content in video format below.

Episode 10: Data handling and data breach

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13:04
Rob Allen, Felix Zimmermann, Emily Agnoli, and Tom Bowen discuss the rising prevalence of cybercrime attacks in 2021; the consequences of these attacks that asset managers should be aware of; issues around insuring against data and cyber risks; and the risks of both ICO enforcement and private enforcement from clients or counterparties following a breach.

Episode 9: Transactions in distressed markets

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15:39
Doug Robinson, Craig Gilchrist and Adam Brown discuss the litigation risks arising from transactions in distressed markets, and look to the lessons that we can take from market conditions in the past that resulted in litigation, and the practical ways that the resulting risks can be mitigated.

Episode 8: Competition risks

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15:32
Mark Jephcott, David Trapp and Adam Brown discuss how anti-competitive information exchange continues to be a focus for competition authorities and what lessons internal compliance functions should be learning from recent enforcement; how competition law can become a relevant factor when considering ESG initiatives and what we can expect form the competition authorities in this space; and the latest developments in the ever-broadening space of foreign investment and national security regulation and how regimes like the UK’s National Security and Investment Act 2021 is relevant to asset managers.

Episode 7: Business protection

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15:03
Priya Nagpal, Dan Ornstein and Adam Brown discuss an overview on protecting confidential business information, IP and trade secrets; working with clients to mitigate risk; and preparing an action plan for incident response.

Episode 6: Culture and conduct

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15:41
Clare Allen, Mark Uttley and Adam Brown discuss the FCA’s current focus on culture and whether that will likely continue in the year ahead; how the pandemic has had an impact of the FCA’s approach to culture; the FCA’s recent views on approach to Diversity and Inclusion; and the overlap between ESG and culture.

Episode 5: Disputes over control

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15:23
Basil Woodd-Walker, Alexander Lombos and Adam Brown discuss features of typical disputes over control and what can go wrong; how to prevent control disputes arising and how to resolve control disputes if they do arise.

Episode 4: Financial crime

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13:23
Camilla de Silva, Thomas Bowen and Adam Brown discuss the key financial crime priorities for regulators and law enforcement, and the significance of financial crime to operational resilience; fraudulent activity affecting asset managers; key points around anti-money laundering, and the necessity of due diligence and proper source of wealth analysis; key risks around particular asset classes and high risk jurisdictions; and the prosecution agenda.

Episode 3: Market abuse

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12:22
Richard Sims, Emma Sutcliffe and Mark Uttley discuss the FCA’s current approach towards market abuse cases, including recent warning notice statements; a summary of recent regulatory outcomes in relation to spoofing, wash trades and the dissemination of false or misleading information; and the themes emerging from the pandemic, including the compliance challenges when key staff work from home.

Episode 2: Conflicts of Interest

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17:48
Chloe Lim, Adam Brown and Devina Shah discuss the FCA’s current approach towards conflicts of interests, as part of its wider focus on culture; practical steps that an asset manager may take to mitigate and manage conflicts; particular scenarios involving potential conflicts, such as asset valuation, intermediary commissions, and participation in class actions; and issues around director’s duties.

Episode 1: ESG

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15:29
Adam Brown, Stuart Doxford and Emily Blower discuss how to navigate the regulatory and litigation risks arising from environmental, social and governance (ESG) issues. In particular, the increase in ESG-specific regulations and initiatives; regulators’ use of existing enforcement tools to monitor ESG disclosures and investment processes; the associated increase in litigation risk arising from (a) the accuracy of ESG disclosures (including allegations of greenwashing), (b) actions taken to respond to climate and sustainability risks, and (c) broader duties of care to implement clients’ ESG goals; and the recent ESG-related trends in stewardship actions by AFMs as shareholders.

This document (and any information accessed through links in this document) is provided for information purposes only and does not constitute legal advice. Professional legal advice should be obtained before taking or refraining from any action as a result of the contents of this document.

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