Monique Melis Talks to Ignites Europe: Recent Regulatory Scrutiny a "Wake-up Call" to the Asset Managers

Monique Melis, Managing Director in Duff & Phelps’ Compliance and Regulatory Consulting practice, appeared in a video interview for Ignites Europe discussing the threat of regulatory enforcement action and what the industry can learn from recent allegations of wrongdoing at two asset managers.

Few large investment firms recently caught the regulatory spotlight. This scrutiny may be a “wake-up call” to compliance teams within the asset management industry.

“We previously experienced a banking crisis not an asset management crisis, so it has been the banking sector which has been the primary focus of regulatory action over the past 10 years. Banks have had to invest in systems and controls and listen to the regulator which stems from them wanting to avoid large fines [whereas asset managers have not]. Asset management firms should start engaging with the regulatory agenda in a deeper sense than they have done in the past.”

Watch the full interview in Ignites Europe website

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