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Global Financial Compliance (Level 3)
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How can United Nations supported Principles for Responsible Investment be most effectively translated into action? A London-based asset manager is seeking to enhance its internal controls to align with the UN PRI. The Chief Compliance Officer is tasked with ensuring that the firm's approach to responsible investment is robust and meets the expectations of institutional clients and the Financial Conduct Authority (FCA) regarding sustainable finance. The firm wants to ensure its internal audit and compliance monitoring frameworks are updated to reflect these principles substantively rather than just as a disclosure exercise.
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Global Financial Compliance snapshot
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