1-Day Workshop: Regulations & Operational Compliance for Funds (London, United Kingdom – June 27, 2019) – ResearchAndMarkets.com

and 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

This practical 1-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 and the latest
developments in UCITS Funds as well as the key regulations in the COLL

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.

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
  • 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
  • Explore the fund pricing errors and investment and borrowing power
  • 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

  • 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/qslpm2/1day_workshop?w=4


Laura Wood, Senior Press Manager
E.S.T Office Hours Call 1-917-300-0470
For U.S./CAN Toll Free Call
For GMT Office Hours Call +353-1-416-8900
Topics: Hedge