UCITS: Investment restrictions applicable to financial derivatives - advanced
In a constantly changing legal and regulatory environment,with products and investments strategies always more innovative and complex, having a clear knowledge of the eligibility criteria of financial instruments/indices/stock exchanges and of the investment rules applicable to UCITS is key in the context of an efficient risk management.
By the end of this training, the participants will have a deeper knowledge of the eligibility criteria applicable to the different types of eligible investments for a UCITS with a focus on some financial instruments and indices, of the global and individual investment limits as well as of the main guidelines in relation to the management of the risks associated to financial derivative instruments as defined by the regulations applicable to UCITS.
The training has been developed in three main parts:
1. Eligible investments - to review the eligibility criteria as defined by the regulations and then to illustrate the theoritical approach with some concrete examples based on the analysis of term sheets, prospectus and methodologies
2. Investment limits - to review the global and individual investment limits and then to illustrate these limits with practical cases
3. Financial derivatives - to review the main guidelines in relation to risk management and then to illustrate these limits with practical cases
A qui s'adresse la formation?
- Professionals of the financial sector dealing with UCITS investment funds
- People in charge of the risk management of a self-managed SICAV or a management company
- People responsible and people in charge of the review of the investment restrictions
- Internal auditors and compliance officers
- People in charge of the regulatory reporting
- Product developers
- Investment managers
- Board members
This training is coordinated by Stéphanie Jean, Director, PwC Luxembourg.
Stéphanie has acquired an experience of around 20 years in UCITS investment compliance and more specifically in relation to investment eligibility analysis, risk management and understanding of complex derivatives and financial instruments. Over the years, Stéphanie has been sharing this strong expertise with our PwC clients.