Financial Crime Governance, Risk and Compliance - Thematic Review

During late 2016 a thematic review of fund managers and fund administrators' governance, risk and compliance frameworks was jointly undertaken by the Investment Supervision and Policy Division and the Financial Crime Supervision and Policy Division of the Commission.

The Investment Supervision and Policy Division report which focussed on the mitigation of governance and compliance risk in relation to collective investment schemes can be found here.

The Financial Crime Supervision and Policy Division report which focussed on the governance, risk and compliance frameworks in place to mitigate financial crime risk can be read via the following link: 

Financial Crime Governance, Risk and Compliance - Fund Managers & Fund Administrators