Course description
Regulations & Operational Compliance for Funds
This is a unique opportunity to complete this programme remotely via a virtual classroom conducted 25 Mar 2024 between 9 a.m. and 5 p.m. UK time.
The course is delivered by a senior expert with over 25 years of international experience.
On completion you will receive a comprehensive set of course materials and course certificate.
This programme can be arranged as in-company online webinar. Contact us to discuss your requirements.
This practical one day workshop conducted by an expert with over 20 years of experience from the sector 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, AIFMD, the latest developments in UCITS Funds as well as the key regulations in the FCA COLL sourcebook and RDR.
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.
You may be interested in our other virtual courses including:
- UCITS Funds
- AIFMD
- MiFID Compliance
- MIFIR / EMIR Transaction Reporting
- UK Reporting Funds Status
- SFDR / EU Taxonomy
- IFR - Investment Fund Regulation
- SFTR
- ESG
- LIBOR / IBOR Transition
- CASS
- CRS & FATCA and more. Visit our website for more information.
All courses are delivered by senior Fund management / Compliance Specialists. Register for any 2 courses at the same time and save extra £100 (In total, not per course).
Course content
By the end of this training you will:
- 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
- Understand the impact of AIFMD updates on fund management
- 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 responsibilites 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
Suitability - Who should attend?
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
Outcome / Qualification etc.
You will receive course certification on completion.
Course delivery details
We offer this course for both individual students, as well as the ability to book them as private in house training for companies looking to train employees.
Reviews
Average rating 5
Excellent, very impressive regulatory knowledge and understanding of the trends in the industry.
Excellent.
Expenses
Online: Early Bird: £795 + VAT, Regular price £995 + VAT. 10% discount for 3 people. There is no VAT charge for delegates from outside of the EU.
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Eureka Financial
Eureka Financial is a provider of banking, finance, regulatory, risk and wealth management training courses. We also offer some business management and soft skills training programmes. Based in London, UK, we organise public courses in London as well as tailored in-house...
Very good, great format and a very experienced trainer.