Eligible assets and investment restrictions for Luxembourg UCITS - Advanced

The funds industry evolves in a constantly changing legal and regulatory environment, with products and investments strategies always more innovative and complex. In the context of an efficient risk management, it is key to have a sound knowledge of the eligibility criteria of financial instruments/indices/stock exchanges and of the investment rules applicable to UCITS.

By the end of this training, the participants will have a deeper knowledge on:

• the eligibility criteria applicable to the different types of eligible investments for a UCITS with a focus on some financial instruments and indices;
• 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:

• Eligible investments: eligibility criteria as defined by the regulations and illustration of the theoritical approach with some concrete examples based on the analysis of term sheets, prospectus and methodologies
• Investment limits: global and individual investment limits and illustration of these limits using practical cases
• Financial derivatives: main guidelines in relation to risk management and illustration of these limits with practical cases

This training is coordinated by Stéphanie Jean, Managing Director at PwC Luxembourg.

Stéphanie has acquired an experience of over 22 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.

Stéphanie has also developed her knowledge of the Luxembourg investment fund industry through her specialisation in the audit of investment funds and management companies.