Regulations and Operational Compliance for Funds

Wednesday, December 5, 2018 - 08:30
1 Day
Conducted by: 
Eureka Financial
Sam Baker

This practical one day workshop conducted by a fund management veteran 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.
Main topics discussed include:

UCITS Directives and AIFMD
Impact of MiFID 2 on fund management
Key COLL regulations
Main parties involved
Fund governance and 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
You may be also interested in our UCITS Funds course – register for both and save additional £100!

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