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This training is offered in the form of face-to-face training.
Catalog

Fund Compliance Officer

Investment Funds

In collaboration with:

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Description

Objectives

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.

Programme

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

  1. Compliance - Fundamentals 8h
    Compliance - Fondamentaux 8h
  2. Compliance in Funds - Introduction to the Rules of Conduct and Management Companie/AIFMs 8h
  3. Politiques et restrictions d'investissement - Fondamentaux 8h
    Investment Policies and Restrictions in UCITS - Fundamentals 8h
  4. Advanced Investment Restrictions 24h
    Restrictions d'investissements complexes en pratique 24h
  5. Risk Management - Fundamentals 8h
    Risk Management - Fondamentaux 8h
  6. NAV Errors and Breaches - Circular 02/77 (English) 8h
    NAV Errors and Breaches - Circulaire 02/77 (Français) 8h
Registration process

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.

Language

This certification is both in French and English.

Conditions

Course Material

Please note that for environmental reasons no paper version of the training material will be provided for your training. The course material can be downloaded free of charge via your portal before the start of the course (download the Client Portal User’s Guide here). You will be able to view it on the screen of your mobile device or print it if necessary. If your registration has been made by a training manager of your company please contact him/her so that he/she can give you access to it or send it to you.

Exam and Certification

Examination: It is possible to pass an examination for the modules composing this programme.

Certification: Those wishing to obtain the certificate must pass the exam of the listed modules and send a request for a certificate to our Customer Service (customer@houseoftraining.lu). The House of Training will then send the certificate/diploma.