Marketing, distribution & transfer agency

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Course outline

The successful marketing of a fund to investors encompasses a clear strategy and ongoing adherence to a myriad of rules, at Luxembourg, European and at local level in each country of distribution. The relevant regimes range from pre-marketing, solicitation, private placement and public distribution.

Key aspects covered include choosing which distribution channels are best suited to reach the fund’s target market and increase its assets under management, product governance, provision of fund documentation and various notifications/authorisations, use of share classes and fee sharing considerations. 

The models, the responsibilities of the Transfer Agent (TA) irrespective of the model selected, as well as aspects such as deal and payment processing, reporting to client and authorities as well as key risks and relevant controls will be covered.

This module will address the monitoring of the marketing, distribution and transfer agency, and mitigation of key risks, the oversight by the Board over marketing to ensure that key risks are monitored and managed. 


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

07/02/2024 - 8:45 AM
5:45 PM

Venue

INNSiDE by Meliá Luxembourg

CPD hours

8.0 hours

Book your spot

Member fee : 675,00€ (VAT excl.)

Non-member fee: 865,00€ (VAT excl.)

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Speakers

 Graham GOODHEW

              Non-Executive Director  

Jean-Philippe HOUARD

Director, Head of Investor KYC 

 Markku KOTISALO

Conducting Officer & Head of Fund Administration 

Rafal KWASNY

Conducting Officer & Head of Shareholder Services

Chloé PIQUET

Senior Manager

Markus SCHWAMBORN

Director

Gregory SURPLY

Associate General Counsel 
& Conducting Officer 

Christiaan VRIEZEN

Head of Market Services 

Agenda and schedule*































*subject to changes

Venue

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INNSiDE by Meliá Luxembourg

12 rue Henri M. Schnadt

2530 Luxembourg - Luxembourg

Contact the organiser

Institut Luxembourgeois des Administrateurs

certifications@ila.lu  | +352 26 49 58 5963