Governance - the governance practices applicable to the entities of the financial sector (C6061)

None. However, it is recommended to have some knowledge of the financial sector.

• Identify and understand the functioning of the governing bodies of the main players in the financial sector (general meeting of shareholders, board of directors, managers, authorized management, internal control function, etc.).
• Analyse the governance rules applicable to UCIs.
• Analyse the governance rules applicable to management companies.
• Analyse the governance rules applicable to PSF and investment firms.
• Review the 3 lines of defence and the rules of independence and reporting applicable to internal control functions.
• Understand the implementation of the governance of the PSS/IA and management company through the establishment of supervisory committees.
• Review the regulatory and legal framework applicable to Luxembourg entities in the financial sector.

Le contenu est identique aux objectifs d'apprentissage pour cette formation.