Regulations & Operational Compliance for Funds
Short course
In London
Description
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Type
Short course
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Location
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Class hours
8h
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Duration
1 Day
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Start date
Different dates available
This practical one day workshop will equip you with the most up-to-date knowledge about the latest regulation requirements which apply to the operations of authorised funds.
You will have a chance to explore the impact of MiFID 2, the latest developments in UCITS Funds as well as the key regulations in the COLL sourcebook.
You will also learn about the transfer agency and fund accounting, concentrating on high risk areas where mistakes frequently occur, such as fund pricing and will examine case studies. Finally, you will work through the techniques and examples of “intelligent oversight” which can greatly simplify the identification and resolution of administration problems. Examples are provided of due diligence questionnaires and oversight reports.
UCITS Directives and AIFMD
Impact of MiFID 2 on fund management
Key COLL regulations
Main parties involved
Fund governance
Fund documentation
Fund administration - the Transfer Agent and accountant
Developing effective control environment for fund accounting
Pricing errors
Investment & borrowing powers of UCITS vs NURS funds
The RDR & share classes
Oversight of offshore funds
Third party agreements and oversight
Risk management and compliance
FCA Review of Outsourcing Oversight
Facilities
Location
Start date
Start date
Start date
About this course
The course is relevant for Managers and Team Members from the Fund Management, Investment Banking and Institutional Investors and third party with the following background:
Fund Management
Fund Oversight
Fund Administration and Governance
Internal Audit
Risk Management
Lawyers
You will receive course certificate on completion.
Reviews
Subjects
- Risk
- Compliance
- Governance
- Investment
- IT risk
- Regulations
- Fund Management
- Fund compliance
- Fund Governance
- Fund documentation
- Fund structuring
Teachers and trainers (1)
EF Faculty Trainer
Trainer
Course programme
- Have a great understanding of all the major regulations affecting fund management today
- Learn about UCITS Funds and the latest developments under UCITS V Directive
- Assess the impact of MiFID 2
- Explore the requirements of the key COLL regulations
- Get a thorough understanding of processes required to provide effective fund oversight
- Learn about the fund governance procedures
- Understand the roles and responsibilities of all parties involved
- Explore the development of effective controls for fund accounting
- Understand the impact of the RDR - Retail Distribution Review
- Learn how to manage risks and set up appropriate compliance monitoring frameworks including high risk areas in fund accounting and transfer agency
- Explore the fund pricing errors and investment and borrowing power breaches
- Learn about the challenges of overseeing offshore funds
- Learn how to structure third party agreements and oversee third parties
- Understand the aspects of particular concern from the FCA
Regulations & Operational Compliance for Funds