ARP - DDQ for Broker Dealer Products

Independent Fund Directors are vital to safeguard investor interests. As the model of directorship has evolved, stakeholders must navigate new challenges to ensure strong governance.

ODD plays a vital role in institutional investor processes. Our 2024 survey of ODD Practices reveals standard practices at leading investors across a range of areas including structures, use of data gathering tools, and challenges.

Discussions around trade errors, omissions, and breaches are sensitive given it is not a “zero failure” environment. In this memo, we explore the spectrum of approaches and treatment of these and highlight how investors and managers can improve dialogue for mutual success.

No investment is without operational risk. The key challenge facing Chief Investment Officers and Investment Committees is to navigate these risks successfully as they build out their investment programmes.