Distribution oversight 

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Exploring best practices 

Last month at our Exploring distribution oversight and best practices event, host and senior adviser, Simon Hynes, and FBC director and senior adviser, Brandon Horwitz were joined by three expert speakers, all of whom had contributed to the fieldwork conducted by the Fund Boards Council as part of the forthcoming white paper on this subject*. Our panellists were Birgit Sammer, Head of Distribution Oversight, Invesco Management S.A., Chris Town, Deputy Head of Compliance,Columbia Threadneedle Investments, and Laurence Mumford, Distribution Governance Director from M&G plc.  

The discussion covered a wide range of topics related to distribution oversight and insight that highlighted some of the differing expectations of UK & EU fund regulators. Our panel gave their views on the definition of distributors, negative target market challenges, client liquidity and the broader boardroom discussion on distribution. Questions from FBC members also led to discussion on risk appetite and risk management frameworks for ManCos/funds specifically for distribution.  

The full recording of the session is now accessible on-demand for FBC corporate members here.  

*Forthcoming white paper 

The new FBC white paper includes focus on the extent to which distribution oversight is being undertaken by UK & UCITS fund managers and the role of the AFM’s board in overseeing distribution activities, as well as examples of good practice evident in AFMs current processes.