Investment Policies and Restrictions in UCITS - Fundamentals

At the end of this training, the participant will be able to:

• understand the legal framework of investment restrictions applicable to UCITS
• understand investment restrictions relating to traditional financial instruments used by UCITS
• understand investment restrictions applicable to UCITS using derivatives or securities lending, repurchase and reverse repurchase transactions

• Reminders
  • Financial instruments
  • Regulatory framework of UCITS funds
• Notions of regulated markets and transferable securities
• Basic rules relating to UCITS
  • Securities, money market instruments, units of funds
  • Index tracking UCITS
  • Borrowings
  • Control and significant influence
• Rules relating to
  • Simple derivatives, securities embedding a derivative, and global risk
  • Securities lending, pensions, and repo transactions

For this training course, an optional exam is available. In case of interest, candidates can choose a date from the list of proposed examination sessions. Registration for the exam must be made at least five days before the chosen exam date. The exam is subject to a registration fee.

At the end of the training, the participants will receive a certificate of attendance delivered by the House of Training.