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A UK Sarbanes-Oxley act? – It’s coming

A British version of SOx regulation now looks more likely than ever in the wake of the UK Government’s whitepaper on restoring trust in audit and corporate governance

Rod Ellis has worked in finance and compliance for over 30 years. Having started his working life as an auditor at KPMG in the UK and Hong Kong, he then spent the lion’s share of his career working for Invesco in Asia, the US, and Europe, where in the last decade he focused on transformation projects in finance and compliance.

I recently had a conversation with Rod to explore the regulatory landscape for UK asset management firms, and why they should start preparing now for a UK version of the US Sarbanes-Oxley Act. What costs are involved? What are the benefits? What are the pitfalls? Here’s Rod’s take on what UK asset management firms can learn from the US experience.

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