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Governance

for Asset Managers

Good governance supports the long-term prosperity of your business.

The practice of good governance requires being informed, transparent and accountable. It also benefits from a fresh perspective and the willingness to question historical precedent. Our diverse team is qualified to do just that—

WE HAVE:

  • Direct board-level experience with private, publicly-traded and charitable organizations
  • Expertise in legal, risk management and regulatory compliance
  • Experiential insight into industry best practices
  • Demonstrated ability to recognize new and emerging trends and risks.
Our Services
Board Advisory Services

Your board must act in the best interests of your organization and its stakeholders. We design and implement operational processes to help your board directors and trustees meet their fiduciary duties. Our professionals have provided legal and organizational support to diverse types of boards, working directly with directors, trustees and committee chairs in their various board capacities — we can:

  • Conduct independent board evaluations and skills assessments
  • Assess the effectiveness of internal compliance, audit and enterprise-wide risk management programs
  • Provide independent fraud detection reviews and remediation
  • Consult on practical corporate governance issues
  • Educate on current, new and emerging governance risks
  • Develop and implement processes to meet fiduciary duty requirements.
Risk Committee Advisory Services

Risk oversight is complex, yet critical. Perhaps you establish a board-level risk committee by choice. Or, you are required to do so under the Dodd-Frank Act or exchange-listing requirements. Whatever the reason, your risk committee should have advice and training that is relevant, accurate and practical to enable directors to ask the right questions at the right time. Our specialists have extensive experience serving on boards—we can:

  • Design and implement effective, practical enterprise-wide risk oversight governance structures
  • Develop methodologies for setting and overseeing risk appetite and risk tolerance levels set by the board
  • Monitor enterprise-wide compliance with policies and procedures relating to risk management governance, practices, and risk controls
  • Identify and remediate gaps in existing governance structures
  • Facilitate the development of a risk committee charter
  • Advise on risk committee structure and composition.
Board Education & Training

To effectively represent the interests of investors and other key stakeholders, and to fulfill their legal, fiduciary and ethical oversight responsibilities, your board members must be kept up-to-date on regulatory issues. Our knowledgeable team presents training programs tailored specifically to board members’ needs—we have presented on a variety of topics, including but not limited to:

  • Monitoring SEC reporting requirements
  • Understanding director trading and reporting rules
  • “Pay to play” rules
  • Identifying, disclosing and managing enterprise risk
  • SEC enforcement and examination priorities
  • Impact of specific M&A opportunities
  • Material non-public information and illegal insider trading
  • Cybersecurity
  • Foreign Corruption Practices Act and anti-corruption measures
  • Environmental, social and governance (ESG) initiatives
  • New financial products
  • Whistleblower developments.

Schedule A
Consultation

Discover how ACTIVUS delivers practical solutions to real-world challenges.

Contact Us