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.
Duration: 6h
Language: Available in English or French. The supporting material is only available in English.
Number of participants: up to 15
Available as intra-company course (i.e. dedicated session on demand)
Objectives
By the end of this training, 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.
Content
- Eligible investments: eligibility criteria as defined by the regulations and illustration of the theoretical 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
Target audience
- Professionals of the financial sector dealing with UCITS investment funds
- People in charge of the risk management of a self-managed SICAV or a management company
- People responsible and/or in charge of the investment restrictions' review
- Internal auditors and compliance officers
- People in charge of the regulatory reporting
- Product developers
- Investment managers
- Board members
Our lead experts
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.
