Fund Compliance Officer

This certification course develops the fundamental skills in relation to compliance in the field of investment vehicles and addresses the concepts of financial and operational risk management as well as the monitoring of the investment policies and restrictions.

This certification is composed of 6 modules available either in French, in English or both:

• Compliance - Fundamentals

Compliance - Fondamentaux

• Compliance in Funds - Introduction to the Rules of Conduct and Management Companie/AIFMs
• Politiques et restrictions d'investissement - Fondamentaux

Investment Policies and Restrictions in UCITS - Fundamentals

• Advanced Investment Restrictions

Restrictions d'investissements complexes en pratique

• Risk Management - Fundamentals

Risk Management - Fondamentaux

• NAV Errors and Breaches CSSF Circular 24/856

Valeur nette d’inventaire (VNI) - Erreurs et manquements - Circulaire CSSF 24/856

Évaluation:

Examination: Each of the modules comprising this programme may be assessed through an examination.
Certification:To obtain the certificate, candidates must successfully pass all examinations associated with the listed modules and submit a formal request to Customer Service. Upon receipt and verification, the House of Training will issue the certificate.

Autres informations:

Registration to each training has to be made separately, by clicking on the above links. You will be redirected to the training page, where you will find related information, as well as the registration button to the training and the exam.

This certification is both in French and English.