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Asset Managers’ Operational Due Diligence Obligations in 2018 (Webinar Replay)

By Amanda Daly,
Tuesday, March 6th, 2018

In today’s investor landscape, it is crucial for Asset Managers to be cognizant of and prepared for Operational Due Diligence requests.

In a recent webinar, we heard from ODD experts from Eze Castle Integration and Eisner Amper to learn about the current environment for Asset Managers. Their insights into the ODD process include:

  • Preparing for the ODD Process

    • A great practice is any question that you have answered on a DDQ [anything that requires additional or backup info] – be sure to have them prepared in two ways: a hard copy during meeting and soft copy for deliverable for post meeting

    • Organizational charts, or anything illustrative makes for a great deliverable

  • Top 3 Operational Process Observed in ODD

    • Cash Management Flows & Controls

    • Valuation

    • Fund Accounting

  • Top 3 Qualifying Technology Topics in ODD

    • Business Continuity and Disaster Recovery

    • IT Infrastructure

    • Cybersecurity

  • Red Flags for Investors

    • Lack of trust

    • Lack of independent oversight

    • Unwillingness to provide transparency

    • Insufficient checks and balances

    • Unsatisfactory service provider engagement

  • Investor’s IT Expectations

    • Disaster Recovery and Business Continuity Planning

    • IT Security Policies & Access Controls

    • Audits, Assessments & Certifications

    • Policies, Plans & Procedures + Employee Training

    • Vendor Risk Management

    • Systems, Network & Infrastructure Overview

Get more insight into these ODD observations by listening to the full 35-minute replay here or below.


Categorized under: Operational Due Diligence  Security 

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