Regulations & Operational Compliance for Funds - 1-Day Training Course (London, UK - March 19, 2020): Impact of MiFID 2, Latest Developments in UCITS Funds, Key Regulations in the COLL Sourcebook

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Jan 13, 2020, 07:45 ET

DUBLIN, Jan. 13, 2020 /PRNewswire/ -- The "Regulations & Operational Compliance for Funds" conference 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 complexity.

Regulations & Operational Compliance for Funds 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, 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 problems. 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 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

Key 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 conference visit https://www.researchandmarkets.com/r/mmijq

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Research and Markets
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SOURCE Research and Markets