Introduction to Authorised Funds - 09/05/2018
The Training Environment For Financial Services

Introduction to Authorised Funds

09 May 2018, London

9:15am to 12:45pm

Course Outline & Objectives

This practical half day course is intended to provide staff new to authorised funds with a sound understanding of fund basics, providing a solid platform on which to develop their knowledge and advance their capabilities and career possibilities.

The programme will introduce the different fund types, the main parties involved in running funds and the key documentation and regulatory requirements. The course assumes limited previous knowledge of funds.

Specific areas to be covered include:

  • Different fund types, asset classes and structures
  • Key fund regulations and their practical implications, including COLL, UCITS, AIFMD, FATCA, CRS and MiFID II
  • The role and responsibilities of the main players: Transfer Agents, Fund Accountants, Custodians, PBs, Depositaries, Investment Managers, Auditors and Legal Advisers
  • Fund documentation and reporting, including KIID
  • Recent regulatory and market developments and priorities, such as platforms, share classes, oversight and contingency requirements

Who will benefit?

This event will be of value to anyone with limited funds knowledge who will be involved in administering, managing, operating or overseeing funds. This includes new starters in Fund Administration teams, Risk Managers, Compliance Monitoring teams and Internal Auditors at Fund Managers or Third Party Administrators. It will equip delegates with the level of knowledge necessary to benefit from our related one day course: Fund Oversight under the FCA.

 Register to both the Introduction to Authorised Funds and Fund Oversight under the FCA and attend both events for only £845 plus VAT. Please call 0330 303 9779 or email for more information or to take advantage of this offer.

Course Tutor

Vivien Crayston is a management consultant with 26+ years’ experience in fund administration, transfer agency and fund accounting / pricing for both traditional and hedge funds. She has occupied senior fund administration positions in South Africa and London and has been a management consultant for over 10 years, advising both large and boutique asset managers. She is a Chartered Fellow of the Chartered Institute for Securities and Investments and holds status of MSCI.

Course Programme

Session Content
The purpose of funds
  • The purpose of funds
  • Fund types in Europe
  • Asset classes
  • Open ended -v- closed ended
  • Legal structures: OEIC, Unit Trusts, SICAV, ICVC, ACS, FCP, CCP
  • Regulatory structures: UCITS, NURS, QIFs, AIFs
  • UCITS directives
The main parties
  • ACD /AFM
  • Transfer Agent
  • Fund accountant
  • Custodian
  • Depositary
  • Investment manager
  • Auditor
  • Legal adviser
Fund documentation
  • Trust deed / instrument of incorporation
  • The prospectus
  • KIID
  • Investor documentation
  • Financial report & accounts
Key regulations
  • FCA regulations and tailored sourcebooks
  • COLL
  • SYSC
  • CASS
  • SUP
  • COBS
Recent developments
  • Platforms
  • The complexity of share classes
  • Oversight and contingency requirements

This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.Please contact us to discuss your requirements in more detail and at no obligation.

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