Risk assessment of fund distribution

By the end of this module, you should be able to :

• 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:

1. Why controlling fund distribution?
   • Regulatory requirement
   • Regulator supervision
   • Manage the reputational risk of the asset manager
   • Improve distribution efficiency
2. Distribution oversight – Risk based approach
   • Key steps
3. Distribution risks
   • Distributor bad behavior
   • Financial
   • Authorisations
   • Operation / Process
   • Legal
   • Information / Data
   • Sales Forces
4. 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