Compliance in Fund Administration
Compliance in Fund Administration
| Duration: | 1 day |
| Level: | See Below |
| Suitable for: | This course is suitable for governing bodies such as managers, partners and trustees with responsibility for in-house and outsourced arrangements, fund administrators, external trustees, custodians, auditors and compliance and risk management professionals. |
| CPD Hours: | 6 |
| Cost: | £295.00 |
| Dates: | Mon 12 Mar 2012 Book Now »
Tue 23 Oct 2012 Book Now » |
Overview
Being able to demonstrate and maintain professional management of a fund’s operation and operational risks is crucially important in giving investors comfort and confidence. This course addresses the practicality of having an effective compliance process and how this can be achieved.
Course content
- Legal compliance
- How the compliance function differs from the risk management function
- Monitoring of investment policy compliance
- Adhering to regulatory and client investment restrictions
- Compliance with tax and regulatory rules
- Compliance watchpoints
- Money laundering
- Operational risk dimensions in different fund types (property, private equity, hedge funds, unit trusts etc)
Workshop session
- Establishing an effective compliance and risk management process in funds
Learning outcomes
Having attended this course, delegates will:
- Be able to identify how effective compliance can be achieved
- Be able to identify what constitutes effective compliance
- Understand the critical importance of effective compliance going forward
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