Regulations & Operational Compliance for Funds

Eureka Financial
Course summary
1 day
650 - 750 GBP excl. VAT
Full time
Online courses
Professional Training

Course description

This is a unique opportunity to complete this programme remotely via a virtual classroom conducted on 29 Jun between 9 a.m. and 5 p.m. UK time. 

The course is delivered by a senior expert with over 20 years of international experience.  

We will  cover the same material as during our course in London but you will benefit from an attractive price and additional savings on travel and, if you are based outside of the EU – also VAT.

On completion you will receive a comprehensive set of course materials and course certificate.

This programme can be arranged as in-company online webinar. Contact us to discuss your requirements.

This practical one day workshop conducted by an expert with over 20 years of experience from the sector will equip you with the most up-to-date knowledge about the latest regulation requirements which apply to the operations of authorised funds.

You will have a chance to explore the impact of MiFID 2, AIFMD, the latest developments in UCITS Funds as well as the key regulations in the FCA COLL sourcebook and RDR.

You will also learn about the transfer agency and fund accounting, concentrating on high risk areas where mistakes frequently occur, such as fund pricing and will examine case studies. Finally, you will work through the techniques and examples of “intelligent oversight” which can greatly simplify the identification and resolution of administration problems. Examples are provided of due diligence questionnaires and oversight reports.

Suitability - Who should attend?

The course is relevant for Managers and Team Members from the Fund Management, Investment Banking and Institutional Investors and third party  with the following background:

  • Fund Management
  • Fund Oversight
  • Fund Administration and Governance
  • Internal Audit
  • Risk Management
  • Lawyers

Outcome / Qualification etc.

You will receive course certification on completion. 

Course content

By the end of this training you will: 

  • Have a great understanding of all the major regulations affecting fund management today
  • Learn about UCITS Funds and the latest developments under UCITS V Directive
  • Assess the impact of MiFID 2 
  • Understand the impact of AIFMD updates on fund management
  • Explore the requirements of the key COLL regulations
  • Get a thorough understanding of processes required to provide effective fund oversight
  • Learn about the fund governance procedures 
  • Understand the roles and responsibilites of all parties involved
  • Explore the development of effective controls for fund accounting
  • Understand the impact of the RDR - Retail Distribution Review 
  • Learn how to manage risks and set up appropriate compliance monitoring frameworks including high risk areas in fund accounting and transfer agency
  • Explore the fund pricing errors and investment and borrowing power breaches
  • Learn about the challenges of overseeing offshore funds
  • Learn how to structure third party agreements and oversee third parties
  • Understand the aspects of particular concern from the FCA 


Online: Early Bird: £750 + VAT, Regular price £850 + VAT. 10% discount for 3 people. There is no VAT charge for delegates from outside of the EU. 

About provider

Eureka Financial - Expert in Banking and Finance, Regulatory, Risk and Wealth Management Training.

Eureka Financial is a provider of banking, finance, regulatory, risk and wealth management training courses. We also offer some business management and soft skills training programmes. Based in London, UK, we organise public courses in London as well as tailored in-house...

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Contact info

Eureka Financial

22 A St Jame's Square
SW1Y 4JH London

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Average rating 5

Based on 4 reviews.

H.S., Compliance Analyst, William Blair
Very good, great format and a very experienced trainer.
Compliance Manager, Zen Fund Management
Excellent, very impressive regulatory knowledge and understanding of the trends in the industry.
Director, Interactive Brokers
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