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To give senior management and fund boards the necessary oversight, due diligence and controls over financial products and funds


1.To prevent issues from happening and implement key controls and processes around risks.

2.To keep firms on the right side of regulation and avoid attention from the FCA. 

3.To have a system in place to understand where conduct risks lie


Thereby avoiding:


  • Fines

  • Negative Firm Systematic Framework FCA review

  • Negative brand implications

  • Client restitution

  • Governance structures to reinforce client trust to retain and win new business


As a recent example was a FCA’s Dear CEO letter (13th June 2019) to Wealth Management and Stockbroking firms setting out its view of the key risks of harm that firms could pose to their customers or the markets in which they operate, in particular: 


  • By losing confidence in the industry’s ability to deliver their financial objectives due to mismanagement of conflicts of interest and market abuse;


What Governance Connect brings is a front office practitioner approach with a core understanding of Compliance, Risk, Audit and the Front Office Controls to pre-empt of help to solve the BAU issues that have already happened.  Based on past experiences, a lot of solutions are around identification and controls.  Equally, to set up key risk indicators and committees to monitor, have a holistic view of the business and help direct resources in the right way.


  • Fund Governance allows Asset Managers to meet their obligations by ensuring

    • Funds are run by investment managers of appropriate standing and expertise;

    • The risks of any new fund are identified and can be effectively controlled;

    • Investors are aware and understand the risks of investing in individual funds;

    • Committees and functions are established to provide an additional level of oversight and control


  • Risk monitoring

    • Develop a list of key risk indicators for a risk committee

    • Track and report on incidents and complaints

    • Define and implement risk & control reporting


  • Asset Management Oversight

    • Operations

    • Compliance and Regulatory observance

    • Risk Management

    • Investment Performance and Investment Risk


For further understanding of the importance of Governance please click on the above members’ section and the Governance Tabs.

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