One Day Workshop: Regulations and Operational Compliance for Funds (London, United Kingdom - November 29, 2019) - ResearchAndMarkets.com

DUBLIN--()--The "Regulations and Operational Compliance for Funds" training has been added to ResearchAndMarkets.com's offering.

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.

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.

You will have a chance to explore the impact of MiFID and 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. Examples are provided of due diligence questionnaires and oversight reports.

What Will You Learn

  • 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

Main Topics Covered During This Training

  • 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

Key Topics Covered:

  1. UCITS
  2. The Key Regulations
  3. MIFID II
  4. The main parties
  5. Fund governance
  6. Fund documentation
  7. Fund administration - the Transfer Agent
  8. Fund administration - the Fund Accountant
  9. The RDR and Share Classes
  10. Controls over valuation of individual securities
  11. Pricing errors
  12. Investment & Borrowing Powers
  13. Offshore funds
  14. Third party agreements
  15. Risk management
  16. Compliance monitoring
  17. Oversight of Third Parties
  18. FCA Review of Outsourcing Oversight

For more information about this training visit https://www.researchandmarkets.com/r/y22uug

Contacts

ResearchAndMarkets.com
Laura Wood, Senior Press Manager
press@researchandmarkets.com
For E.S.T Office Hours Call 1-917-300-0470
For U.S./CAN Toll Free Call 1-800-526-8630
For GMT Office Hours Call +353-1-416-8900

Contacts

ResearchAndMarkets.com
Laura Wood, Senior Press Manager
press@researchandmarkets.com
For E.S.T Office Hours Call 1-917-300-0470
For U.S./CAN Toll Free Call 1-800-526-8630
For GMT Office Hours Call +353-1-416-8900