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1 Day Workshop: Regulations & Operational Compliance for Funds - ResearchAndMarkets.com
[July 12, 2018]

1 Day Workshop: Regulations & Operational Compliance for Funds - ResearchAndMarkets.com


The "Regulations & Operational Compliance for Funds" training has been added to ResearchAndMarkets.com's offering.

Fund Managers together with their service providers need to ensure that their funds are operated in a compliant manner. However this is a greater challenge today than ever due to the increasing demands of regulation and the greater complexity of funds. Demands for increased efficiency and robust risk management processes only add to the complexity.

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 COL source book. 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.

Key Topics Covered


  • 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

For more information about this training visit https://www.researchandmarkets.com/research/w8lq5c/1_day_workshop?w=4


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