The course is designed to provide a detailed overview of fund operations and regulations.
The course objective:
To understand operational activities and relevant regulatory provisions
To gain an appreciation of the controls environments that you would expect to see in place in respect of each operational activity
To negate the risks which those controls activities are intended to address
The course will consider:
Operational best-practice range of compliance and audit activities
The role of meaningful Management Information
Benefit from a Workshop Environment and the Practical Application of Key Issues:
The programme is designed for those who are seeking to gain an end-to-end understanding of the fund administration lifecycle and of the requirements of the FCA COLL Sourcebook.
Key Learning Points:
Understand the FCA Regulatory Framework
Overview of fund accounting, unit holder and transfer agency functions
Review of UCITS investment and borrowing rules
Risk and liquidity management
Fund marketing and investor communications
Develop appreciation of the key risks
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