Compliance in Funds - Introduction to Rules of Conduct and Management Companies / Affiliates
Objectives
After completing this course, participants will be able to:
Understand ethics with regard to investment funds, their origins and how to identify bad practices
Understand the rules of conduct in funds and Management Companies and related professional obligations
Understand the rules of market abuse and their specific application to investment funds
Understand how to handle customer complaints
Understand the key principles of managing conflicts of interest
Understand the obligations with regard to confidentiality and data protection
Programme
Introduction
Professional ethics in funds, rationale and development, example of bad practice and misconduct in the fund business
Governance and ethics in funds
Rules of conduct in funds and Management Companies
Market abuse and insider trading in relation with funds, with a particular focus on personal transactions dealing and high frequency trading
Customer complaints handling
Management of conflicts of interest
Data protection and confidentiality rules
Case studies
House of Training
House of Training
7 Rue Alcide de Gasperi
Luxembourg
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