Operational risks in TA

Unternehmensinterne und -übergreifende Weiterbildung

An wen richtet sich die Weiterbildung?

Anyone involved in the following TA related activities:

  • Document reception and management
  • Account registration and maintenance

Erreichtes Niveau

Fortgeschritten

Dauer

1,50 Stunde(n)

Sprache(n) der Dienstleistung

EN FR

Ziele

Over the past years, the landscape of the investment fund industry has been reshaping itself, adapting to the evolving needs and expectations of investors and distributors. Along with that shift have come changes in the way the transfer agents operate, organise, manage risk, implement regulations and interact with other stakeholders of the investment funds value chain.

  • By the end of the session, the participants will have a good understanding of operational risk linked to transfer agency activities and its causes (people, processes, systems and external events).

Inhalt

  • Risk management and the different types of risks (market, credit, liquidity, operational and others)
  • Definition of operational risk
  • Operational risk (processes, people, systems, external events)
  • ORM (identify, assess, optimise, monitor, report) and the 3 lines of defence model

Zusätzliche Informationen

This training is coordinated by Alexis Bouly and Katarzyna Pyrka, Directors at PwC Luxembourg.

Alexis is a director within PwC Luxembourg and has over 15 years of experience in the fund industry.

He started his career in the audit of investment funds and has been involved in large scales advisory projects related to investment funds such as fund accounting, transfer agents, fund platform migrations and outsourcing implementations across the globe.

Katarzyna is a director within the Advisory practice of PwC Luxembourg with over 15 years of experience in the financial industry.

She focuses on the financial services sector and advises on regulatory and business matters. Since she joined PwC Luxembourg, she is supporting major international banks and investment firms specialised in asset management for funds, custody and transfer agency services.

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