Over the past decades, the landscape of the investment fund industry has been reshaping itself, not only adapting to the evolving needs and expectations of investors and distributors but also adopting technological disruptors. Along with that shift have come changes in the way the transfer agents operate, organise, manage risk, implement regulation and interact with other stakeholders of the investment funds value chain.
In close collaboration with PwC's subject matter experts, PwC's Academy has designed a multilayer impactful training curriculum for junior and more experienced transfer agency staff, managers and executives who wish to develop further and efficiently in their role or look forward to the upcoming trends. Similarly, it shall help other stakeholders working in the investment funds business acquiring a good understanding of the transfer agency business.
What are the roles and responsibilities of the transfer agent? Who are the different stakeholders and the regulatory environment of the investment funds business? What are the risks inherent to the transfer agent role? How to monitor them? What are the market trends and the disrupting technological solutions for TAs?
To answer your various questions, our curriculum offers a learning experience over 3 levels: Foundation, Knowledge & Competence and Fit & Proper.
3 levels: Foundation, Knowledge & Competence and Fit & Proper
Foundation
Please click on the links to get further details about each building block's contents or to register to a session.
This training pack is designed around 4 complementary building blocks:
Investment funds - Introduction and market data (1h) Investment funds is one of the major industries in Luxembourg. With this training we propose to make a first step into the funds world by detailing some key concepts that can be developed further into other more specific training modules.
Investment funds - Actors, roles and responsibilities (1h) In the continuity of the module Investment Funds - Introduction and Market Data, this course will cover the main actors involved in the investment funds value chain.
Investment funds - Operational aspects (1h) In the continuity of the module Investment Funds - Introduction and Market Data, this course will cover operational aspects of funds from a fund accounting prism.
Investment funds - Regulatory framework (UCITS and AIFs) (2h) In the continuity of the previous modules, this course will cover the main regulations applicable to investment funds in Luxembourg and their service providers, with a focus on UCITS and AIFs regulations.
Investment funds - Distribution platforms (1h) In the continuity of the previous modules, this course will cover the role and tasks of a fund distribution platform.
This training pack is designed around 4 complementary building blocks:
AML - Follow the money (e-learning) (1h) is an immersive digital case-study designed to support the acquisition and assessment of essential AML knowledge and competence. Building upon the success of our AML Codename Black e-learning, it brings the learning experience to a new level.
Automatic exchange of information (FATCA and CRS) - Basic principles (3h) will focus on how to comply with FATCA and CRS, as implemented in Luxembourg, in terms of on-boarding, due diligence and reporting obligations, with a specific focus on investment fund related aspects.
MiFID II: the essentials (2h) will use the client experience timeline as a basis to enhance the understanding of what concretely happens and how MiFID II impacts the daily responsibilities of every employee.
GDPR essentials (e-learning) (1h20) is made up of small bite-sized courses, with 12 engaging videos which break down larger, more complex topics into interactive modules for learners to gain a unique learning experience.
Knowledge & competence
Please click on the links to get further details about each building block's contents or to register to a session.
This training pack is designed around 3 complementary building blocks:
Transfer agent: roles and responsibilities (1h30) will help you understand the origin and evolution of the transfer agent activity, the transfer agency models and the interactions with the other actors in the Luxembourg fund industry.
Operational risks in TA (1h30) will focus on the operational processes of the transfer agent activities, specifically document reception and management and account registration and maintenance.
Transfer agent: operations and support teams (3h) Building on the previous course, this module will focus on transaction input and processing, transaction reporting and cash reconciliation and settlement.
DAC6, FATCA/CRS and AML: interactions between legislations (2h) This course will determine when interactions between DAC6, AML, withholding tax and FATCA/CRS should be contemplated in terms of process efficiency and risk management.
Sustainable finance foundations (e-learning) (1h) The purpose of this e-learning is to provide you with a clear baseline regarding ESG and Sustainable Finance, so to be fully aware of the related impacts on your business and be ready to take appropriate action.
Transfer Agent & Distributed Ledger Technology (2h) will help you understand Distributed Ledger Technology and its impacts in the Transfer Agent business.
Transfer agency - The way ahead (2h) will analyse the future of the Transfer Agent industry, looking at the current trends and the current forces shaping the industry.
Data privacy in Luxembourg: GDPR and Beyond (4h) will focus on the main principles of the data privacy regulations and their impacts, and the steps to ensure compliance.
Fit & Proper
Please click on the links to get further details about each building block's contents or to register to a session.
Transfer agent & Distributed Ledger Technology (2h) will help you understand Distributed Ledger Technology and its impacts in the Transfer Agent business.
Transfer agency - The way ahead (2h) will analyse the future of the Transfer Agent industry, looking at the current trends and the current forces shaping the industry.
Please check our Executive Training Programme curriculum and discover many other topics for the Fit & Proper level.
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