About the course
This course is ideal for anyone working in compliance, risk management and audit, as well as
providing excellent awareness for operations, accounting and transfer agency teams in
administrators, custodians, secretarial and other service providers.
The program will include relevant supporting materials and case studies and will look at both
domestic and international jurisdictions comparing the environments for compliance and risk
- An overview of the regulation affecting investment funds which will include UCITS and AIFMD plus other legislation such as MiFID, FACTA, CDD, AML checks etc. and investor protection
Governance and Management Responsibilities
- This session focusses on the governance requirements, management of the risk control framework and the oversight of outsourced and in-house key functions, process and procedures including the various agreements and SLAs between key parties.
- Responsibilities of key players will be covered
- The session will look to establish the scope of compliance and risk management and to build the compliance and risk checklists
Risk and Compliance in the Fund Administration & Support Services
- The session looks at the issues surrounding the operation and delivery of support services to funds and examines the key tasks and potential problems. The implications of agreements and SLAs on the service provider are covered as well as the regulatory requirements affecting fund support businesses.
- We also consider the control requirements for in-house support services as well as the outsource / insource arrangements
- The session will look to establish the scope of compliance and risk management and to build the compliance and risk checklists for administrators and support services.
Course time - 9.30am to 4.30pm
CPD - 7 hours