Training Session

Wednesday
Oct 17, 2018
9:00 AM

To

Wednesday
Oct 17, 2018
1:00 PM
Where ?
Arendt House
41A, Avenue John F. Kennedy
L-2082 Luxembourg-Kirchberg
Luxembourg

Objectives

Monitoring distribution has for a long time been a neglected activity although fund distribution is recognized as a key area of risk for asset managers and MiFID 2 has re-enforced that feeling.
Fund distribution necessarily involves many different stakeholders all along a complex cascade value chain.
In addition, the activity of fund distribution is often conducted on a cross-border basis. This is especially true for Luxembourg funds as Luxembourg is one of the leading cross-border distribution fund centers.

All this makes the implementation of a reasonable monitoring system quite challenging and Luxembourg players often struggle with the monitoring of a vast distribution network.

The objectives of the training session address the following issues:

  • How to practically determine a risk-based approach for the monitoring of fund distribution?;
  • How to identify clear areas of risk in a distribution model by putting in place simple data reconciliations?

Content

During the training we will focus on the following subject matters:

  • Cross-border authorisation (passport and PP rules)
  • Documentation compliance and dispatch
  • Due diligence and monitoring of the chain of distributors
  • AML/ KYC / FATCA
  • Remuneration of distributors/ Inducement restrictions
  • Internet website
  • Distribution contract management
  • Product Governance

A special focus will be placed on interaction with participants as well as on question and answer sessions.

Speakers

Nicolas Deldime (Partner, Arendt Regulatory & Consulting),
François Jacquemet (Senior Manager, Arendt Regulatory & Consulting).

Target Group

Members of control teams in a management company or global distributors.

Duration

4 hours.

Language

English

Price

€460

 

For any information, please contact us by e-mail institute@arendt.com

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Arendt Regulatory & Consulting SA

41A, Avenue JF Kennedy L-2082 Luxembourg infoarc@arendt.com

T (352) 26 09 10 1
F (352) 26 09 10 7750

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