Compliance in Fund Administration
| Duration | 1 Day |
| Level | Intermediate |
| 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 & risk management professionals. |
| CPD hours | 6 hours |
| Cost |
|
| Dates |
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