Managing your resources with increasing regulation

Managing your resources with increasing regulation

Chris Freeman (DBFS) presenting at the UnaVista Regulatory Risk Seminar 2013

Knowledge drought, how do you recruit when there are insufficient quality resources?

  • In light of the shortage of resource with  sound understanding of the end-to-end process flow.
  • How do you find a resource that can understand the overall impact of the complexity of regulatory change? 

Thinking horizontally rather than vertically, when structuring regulatory programmes of work

  • Do you need a project for each piece of regulatory change, or is there a better, more efficient and cost effective way?
  • Build and nurture expertise rather than buy  

Recycling; the key to delivering ongoing regulatory compliance 

  • How many times has the latest project repeated analysis/work that the last project did?
  • Did you learn from the ‘lessons learned paper?


The impact of resourcing against budgetary constraints and how to overcome them

  • In light of the fines for not knowing the activities of the company, is a GOOD audit a BAD thing and a BAD audit a GOOD thing?
  • Will a bad audit get you the budget you need to make the right improvements? 

Chris Freeman - Partner, DBFS

Chris has over 25 years experience in the finance industry, heading and transforming Investment Operation Teams within the Asset Management space. He has worked on outsourcing for the last 12 years, establishing the governance and oversight of Third party Suppliers, both on and offshore, as well as the day-to-day management. 

Extensive knowledge of custody provision including RFP, Rate card and contract negotiation. In addition briefs clients, particularly Pension Fund Trustees on custody structure and risks. Driver of development of both Operational Risk and Process Improvement, for the enhancement of the complete end-to-end operating model.