Fonds d'investissement

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

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
  • 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
& Examen
1 h
Chambre de Commerce Luxembourg
7, rue Alcide de Gasperi
L-1615 Luxembourg
cliquez ici pour voir le plan
40,00 EUR