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