Professional liability for asset managers


About the webinar:

The Investment Association is collaborating with Addleshaw Goddard and SCIO Capital LLP to present a webinar on the topic of Professional Liability for Asset Managers: How to Avoid Claims, How to Deal with Claims, Case Law Update.
Asset managers are professional regulated service providers who are under a high standard of care when it comes to managing clients' money. It's a complex, difficult and challenging business. Things can and inevitably do go wrong.
Claims against financial advisers for bad advice have been common for many years. Claims by investors against fund managers in the UK Courts have been relatively rare. But there have been a few recent cases in the UK Courts, which provide a fresh perspective on where managers have gone wrong, and what they could have done to have avoided the mistakes.

The webinar covers:

  • Practical tips and insights from a portfolio manager on common errors and how to avoid them.
  • Understand where professional liability risks most commonly arise, and how to reduce them.
  • Overview of regulatory dimension to professional liability claims, including reporting and SM&CR.
  • Understanding what to do when claims are made.
  • Reviewing strategies for managing reputational risk when litigation is threatened or ongoing.
  • Review of recent UK court decisions on liability, including cases involving both institutional and retail investors.
  • What's been happening in New York and offshore courts.



The session is of interest to investment officers, portfolio and risk managers, COOs, in house legal and compliance staff.

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