Compliance in Funds - Introduction to the Rules of Conduct and Management Companies/AIFMs

Inter-company training

Who is the training for?

All public

Duration

8,00 hours(s)

Language(s) of service

EN

Next session

23.01.2025
See details
Location
Luxembourg

Price

220,00€

Goals

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

Contents

  • 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

Next session

Datum
City
Language and price
23.01.2025
Luxembourg
EN 220,00€
See details
25.04.2025
Luxembourg
EN 220,00€
See details
26.09.2025
Luxembourg
EN 220,00€
See details
11.12.2025
Luxembourg
EN 220,00€
See details

Organization contact details

House of Training

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