Fund distribution is one of the most scrutinized areas for investment fund managers — spanning MiFID II, UCITS Directive, AIFMD, AML/CFT, CBDF marketing rules, and CSSF Circular 18/698.
Yet, for many IFMs, gaining a holistic, operational understanding of distribution risks remains challenging.
This course is designed to demystify this complex area and help you build a robust, risk based distribution oversight framework aligned with current regulatory expectations.
Led by:
Hoa Le
Senior Manager
Manon Weibel
Manager
About the training session
Objectives
By the end of this training, participants will:
- Understand your distribution chain risks across marketing, onboarding of intermediaries, product governance, AML/KYC, remuneration and marketing communications.
- Learn through real examples, case studies and interactive exercises that reflect CSSF on-site inspections and common industry pitfalls.
- Strengthen your governance, documentation and oversight controls with practical tools you can use immediately.
Content
1. The understanding the distribution chain
- Regulatory drivers
- Distribution models & intermediaries
2. The determination of the Risk‑Based Approach
- Identifying risk sources
- Assessing distributor risk levels
3. The focus areas of risk assessment
- (Pre‑)Marketing
- Monitoring distributors
- Product governance
- Marketing communications & website governance
- AML/KYC
4. The practical tools and takeaways
- DD questionnaires
- Oversight checklists
- Controls to make on cross border distribution
- Key KPIs for distribution monitoring
- Tips on identification of marketing communications
- AML/CTF risk scoring methodsith participants as well as on question and answer sessions.
Speakers
Hoa Le
Manon Weibel
Target audience
- Conducting Officers
- Risk Officers & Compliance Officers
- Distribution / Marketing teams
- Legal & product governance teams
- Fund registration specialists
- Advisory professionals supporting IFMs
Duration
3 hours
Languages
English
For more information please contact us by e-mail institute@arendt.com