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

Combien de temps dure la formation ?

8,00 heure(s)

Dans quelle(s) langue(s) la formation est-elle donnée ?

Quand a lieu la prochaine session ?

Qui organise cette formation ?

Fondation créée en 2015 par la Chambre de Commerce et l’Association des Banques et Banquiers Luxembourg (ABBL), la House of Training est un organisme agréé de formation professionnelle continue qui s'engage à contribuer activement à la compétitivité et à l'attractivité du Luxembourg en développant les compétences de ceux qui font vivre son économie.

Le contenu de cette page n'est pas disponible en français

Quels sont les objectifs poursuivis ou les compétences visées ?

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

Quel est le contenu de la formation ?

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