Administrative and criminal sanctions for investment funds
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Understanding administrative and criminal sanctions is crucial for ensuring compliance and mitigating risks in the investment fund sector in Luxembourg.
This series unpacks the complexities of sanctions, equipping you with insights and strategies to navigate and respond effectively to such challenges.
Your learning journey is divided into 7 episodes which enable you to better understand the context of sanctions. By the end of this course, you will be able to identify risks associated with sanctions and develop strategies for navigating and reactions to sanctions.
- Learn to recognise actions and omissions that may trigger administrative or criminal sanctions, and evaluate the risks they pose to investment funds and their stakeholders.
- Explore the steps involved in a sanction procedure, from triggering elements to appeals, and understand the roles and responsibilities of the parties involved.
- Acquire practical skills for managing and mitigating the impact of a sanction, including effective communication and decision-making during a crisis.
- Build strategies to ensure proactive compliance, reduce the likelihood of sanctions, and navigate appeals effectively if a sanction is imposed.
The course is divided into the following key sections:
Introduction
Episode 1: Background of administrative sanctions
Episode 2: What is punishable?
Episode 3: Sanctions in theory
Episode 4: Triggering elements of a sanction procedure
Episode 5: How does a sanction procedure work?
Episode 6: Crisis Management & practical advice
Episode 7: The Appeal
Conclusion
Final Assessment
Our fully digital learning programme features:
- Advanced interactivity: includes activities and scenarios
- Flexibility: learn at your own space and time
- Modernity: light course design
- Final Assessment: summary of essential knowledge
- 2 hours 10
This course is designed for compliance officers, investment fund managers, regulatory advisors, risk management professionals, and anyone involved in the governance and oversight of investment funds in Luxembourg.
