Risks in Investing for High Net-Worth Clients

Thomas G. Kennedy
Director, Compliance
US Private Banking & Tailored
Portfolio Group
New York, New York

Tom will present a survey of the key risks and the most effective mitigants for them when managing accounts for high net worth individuals and their associated entities. Topics considered will include fiduciary risks involved in KYC, suitability and investment objective setting for complex entities/family offices, potential conflict risks due to increased risks of multiple involvement/affiliate transactions with the ultra high net worth family and their related entities, and risk management challenges for tax aware investment managers in multijurisdictional environments and for capital gains embedded accounts.

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