Compliance Workshop for Investment Fund Managers

Staff involved in the Compliance, AML/CFT officers, complance officers of IFMs, Board Members and Conducting Officers of the same.

Training Objectives

The training objectives are to define the roles and responsibilities of the compliance function within the internal control framework according to regulatory framework and market practice, to understand the interactions of the Compliance Function with other functions, the senior management and the management body, to understand the main regulatory topics and areas with a focus on key controls, to present the iteration of the compliance risk assessment and the compliance monitoring plan and their interactions, and to provide a walkthrough on compliance monitoring tools and methodology.

Content

Overview of the internal governance framework and the internal controls interaction with control.

Regulator requirements in terms of authorisation process.

Main components of the role, responsibilities and interactions with the different stakeholders.

A brief presentation of practical examples of the compliance risk assessment and compliance monitoring plan and related methodology.

The main regulatory topics covered by the function with examples of key controls to be implemented.

Overview of the main regulatory and prudential requirements (remunerations, reporting to the CSSF, etc…).

Main Facilitators

Partner - R&C

Senior Manager

Want to take your skills to the next level?

Duration 2h

Language English/French

Location 6, Route d’Esch, L-1470 Luxembourg

Certificate Completion certificate

Price €360 (VAT excl.)