Course outline
To ensure adequate knowledge of each function the module will consist of a training session explaining how marketing, distribution and transfer agency operate within both the UCITS and AIF industries.
This will include an outline of the regulatory requirements governing each function, how each works and the variations of operating models that may be encountered, the procedural and operational aspects and the associated risk management and control framework that should be in place.
The module will focus on the supervision and oversight that a Director would be expected to be considering in their role as a Board member. This area of the module will consider the Board approval of certain Policies, reporting to the Board, authorisation/approval where necessary by the Board, escalation of issues and Board interaction with executive management and third parties such as Delegates.
Overview of the key developments that are taking place or anticipated in each function.
Course highlights
The main features of the program are:
- Marketing & Distribution – Defining
- Transfer Agency
- Key Risks and Controls
- Supervision and Oversight to be exercised at Board level
- Various case studies
Benefits of the program
The course will enable participants to get an understanding of the key concepts and responsibilities of the Directors as regards to marketing and distribution, including their interactions with distributors and transfer agents.
The stages of marketing and distribution will be covered by leading industry practitioners and experts.
Case studies and real examples of issues involving Board members will be shared by our experts.
Target audience
- Fund and investment management companies’ Directors (UCITS, SIF, SICAR, RAIF...), independent or in employment contracts;
- Managers responsible for funds and investment companies with management and/or supervisory responsibilities;
- Executives and managers of management companies and/or funds;
- Executives and managers (legal, domiciliation and compliance services) of service providers, e.g. depository banks, administrative and domiciliary agents;
- Lawyers specialising in investment funds;
- Auditors specialising in investment funds;
- Other professionals involved in this field (insurance, infrastructure, risk management, etc.).
Date & Time
Venue
CPD hours
8.0 hours
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Speakers
Cedric CHOFFRAY
Alter Domus
Graham GOODHEW
Non-executive Director
Justin GRIFFITHS
Deloitte
Markku KOTISALO
NORDEA Investment Funds
Rafal KWASNY
Franklin Templeton International Services
Chloé PIQUET
Deloitte
Yann POWER
ME Business Solutions Sarl
Markus SCHWAMBORN
Deloitte
Paulo SILVA
ALTER DOMUS Luxembourg
Gregory SURPLY
Franklin Templeton International Services
Christiaan VRIEZEN
Schroders Investment Management (Europe)
Agenda and schedule
Venue
Parc Hotel Alvisse
120 Route d'Echternach
1453 Luxembourg - Luxembourg
Contact the organiser
Institut Luxembourgeois des Administrateurs
events@ila.lu
| +352 26 49 58 5963