Supervised by:
Yann Fihey
Partner ARC
In today’s complex financial landscape, effective risk assessment in fund distribution is crucial for maintaining compliance, protecting reputation, and ensuring operational efficiency.
- Understand how diverse and varied the risks associated with distribution can be
- Identify clear areas of risk depending on the distribution model in place
- Understand the benefit of developing a transversal and collaborative approach for distribution risk management
The course is divided into the following key sections:
- Why controlling fund distribution?
- Regulatory requirement
- Regulator supervision
- Manage the reputational risk of the asset manager
- Improve distribution efficiency
- Distribution oversight – Risk based approach
- Key steps
- Distribution risks
- Distributor bad behavior
- Financial
- Authorisations
- Operation / Process
- Legal
- Information / Data
- Sales Forces
- Identification of Key Risk Areas
- Cross-border authorisation
- Monitoring distributors
- Product governance
- Distribution Contracts Management
- Data quality
- Distributors remuneration
- Internet website
- Documentation compliance
- AML / KYC
Our fully digital learning programme features:
- Flexibility: learn at your own space and time
- Modernity: light course design
50 minutes
Investment fund managers
