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Global Financial Markets Intelligence

Global Financial Markets Intelligence

Integrated Due Diligence for Financial Institutions

Ensuring proper processes are in place for due diligence to minimise risk in decision making for financial firms.

26-27 Sep 2019
Downtown Conference Center, New York, NY, United States of America

Why You Should Attend

Integrated Due Diligence for Financial Institutions

To ensure we meet your expectations and maximise your return on training investment, we favour a classroom/workshop style set up for the delivery of our courses. Please note we therefore have a limited number of spaces available and these will be assigned on a first come, first accepted basis. We recommend early booking to avoid disappointment.

How you will benefit

This seminar covers all aspects of the due diligence process applied by financial institutions, in either a proprietary or fiduciary capacity, before major business decisions are made.In addition to familiarizing participants with the overall due diligence process, this course addresses specific risks related to mergers and acquisitions, know your customer, new product approval and outsourcing.

A thorough due diligence review is the most effective way to avoid costly surprises and reputational damage due to issues that are not detected before major decisions are made a firmís capital is committed to a project. Whether your institution is involved in a major acquisition deal or launching a new product, a risk-based due diligence program will provide assurance that all high-risk items have been identified, assessed and addressed, prior to approval and implementation.

Business units (first line of defence) and corporate departments (second line of defence) play important roles in completing the process and ensuring that all issues identified during due diligence are properly resolved.

At the end of this program you will understand all the components of due diligence and how to apply them in different situations. Either you have direct responsibility for a process or play an oversight role, you will benefit from learning a systematic and repeatable process for identifying and assessing the risks inherent in new ventures, products, or relationships, in order to ensure a positive outcome.

About your expert trainer

Mario Mosse has 40 years of experience in enterprise risk management, internal audit and regulatory compliance at financial services companies. He is the president of MMosse Consulting, LLC, where he provides risk management advice and training to the financial services industry.

Previously, he was the head of Operational Risk Management at Prudential Financial, Inc.Prior to joining Prudential, Mosse was with The Chase Manhattan Bank, where he held several senior positions in Risk Management and Internal Audit, including Chief Risk Officer for the Corporate Finance Sector and South America Regional Audit Executive.

Mosse has extensive knowledge of U.S. and international financial services and products, including retail and corporate banking, securities brokerage, investment banking, asset management, and life insurance.He also has in-depth knowledge of risk management and internal control frameworks such as Basel II and III, Solvency II and COSO, including new product development, risk and control self-assessment, key risk indicators, loss event data capture and analysis, capital allocation and control issue tracking and reporting.

Mosse has conducted numerous in house and open-enrolment compliance and risk management seminars in the US and abroad. A partial list of in-house training courses includes the Peruvian Bankers Association, Central Bank of Malta, Alpha Bank of Greece, Emirates UBD, HSBC, Bank of China, Federal Home Loan Bank and Huarong Xiangiiang Bank. Open-enrolment training sessions were attended by associates from the major financial institutions in the world.

Mosse is fluent in Spanish and Portuguese. He studied Economic Science at Faculdade Candido Mendes in Rio de Janeiro, Brazil and was a Certified Bank Auditor, holding FINRA Series 7, 24 and 63 licenses.

Pre-course questionnaire:

A detailed questionnaire will be sent to all course participants to establish exactly where the group training needs lie. The completed forms will be analysed by the course leader/trainer and followed by telephone if further clarification is required. As a result we can guarantee that the course is pitched at exactly the right level and that the issues that you regard as relevant are addressed. The course material will reflect these issues and will enable you to digest the subject matter after the event in your own time.

Who should attend?

From Banks, Asset Managers, Broker/Dealers, Insurance Companies and all other financial institutions.

Financial Officers

Risk Officers

Internal Auditors

Operational Risk Managers

Compliance Officers

Business and Product Development

Previous Attendees Include

Bank of America, Citi, JP Morgan, SunTrust, PNC, BOK Financial, Bank of Oklahoma, Federal Home Loan Bank of New York, Morgan Stanley, Bank of the Cascades, Fifth Third Bank, Capital One, State Street, RBS Citizens Bank, Wells Fargo, Union Bank, Bank of the West, Royal Bank of Canada, TD Bank, Scotiabank, Key Bank and Sovereign Bank

Why Choose GFMI marcus evans?

marcus evans specialises in the research and development of strategic events for senior business executives. From our international network of 63 offices, marcus evans produces over 1000 event days a year on strategic issues in corporate finance, telecommunications, technology, health, transportation, capital markets, human resources and business improvement.

Above all, marcus evans provides clients with business information and knowledge which enables them to sustain a valuable competitive advantage and makes a positive contribution to their success.

Voice of Our Customers
  • “A great event for practitioners” Citigroup
  • “Very, very helpful. Please do it again” Executive Director, Morgan Stanley
  • “Very good event bringing a very impressive group of experts” Scotiabank
Join the Discussion

Event Contact

For all enquiries regarding speaking, sponsoring and attending this conference contact:

Antonello Sarra


+44 203 002 3329
Email: antonellosa@marcusevansuk.com