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

Formation inter-entreprise

À qui s'adresse la formation?

Tout public

Durée

8,00 heure(s)

Langues(s) de prestation

EN

Prochaine session

23.01.2025
Voir détails
Lieu
Luxembourg

Prix

220,00€

Objectifs

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

Contenu

  • 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

Prochaine session

Date
Ville
Language & prix
23.01.2025
Luxembourg
EN 220,00€
Voir détails
25.04.2025
Luxembourg
EN 220,00€
Voir détails
26.09.2025
Luxembourg
EN 220,00€
Voir détails
11.12.2025
Luxembourg
EN 220,00€
Voir détails

Contact pour cette formation

House of Training

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