Hedge Fund Compliance

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Course Description

There has been considerable focus on the hedge fund industry during the last two years, amid cyclical investment returns, regulatory sanctions and significant EU developments. 

This two-day course is designed to demonstrate to fund managers exactly what the most important regulatory issues are, how to deal with regulatory bodies and how to demonstrate compliance with the key areas, including the new EU AIFM Directive.

The course is structured around case studies presenting the best practices from the sector as well as interactive discussions. 

Main Topics Covered Include 

  • An overview of the current regulatory landscape in the UK and Europe 
  • Assessing the AIFMD - EU’s approach to alternative investments regulation
  • The impact of regulatory changes on alternative investment industry
  • UCITS III & IV
  • FSA's Arrow II Assessment
  • Setting up effective compliance infrastructure
  • New risk management strategies implemented by funds
  • Valuation of illiquid assets
  • AML compliance
  • Due diligence and operational risk
  • Case studies presenting the best practices in the Hedge Fund industry

What Will You Learn

Main Topics Covered During This Training

Who Should Attend

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In-Company, call us for more information

DAY ONE
 
RESPONDING TO THE CHANGING REGULATORY LANDSCAPE
 
  • An overview of the current regulatory landscape in the UK and Europe 
  • The AIFMD and beyond 
  • Assessing the AIFMD - EU’s approach to alternative investments regulation
  • The Regulatory changes and what they mean for the international alternative investment industry as a whole (UK / European perspective)
  • Interactive discussion: How far can regulation go?
  • Case Study: Imminent regulatory changes and the major implications for hedge funds and investors
  • UCITS III & IV funds: transparency, liquidity and regulatory oversight 
  • Recent regulation and how it will affect the growth of offerings and
demand for UCITS hedge funds and FOHFs
  • Regulatory body authorisation
  • FSA Arrow II Assessments
  • Case Study: Regulatory requirements and skilled persons report 
  • Effective due diligence
  • Internal policies and controls for effective compliance
 
 
DAY TWO
 
THE FUTURE OF THE HEDGE FUND INDUSTRY – REGULATION VS. INVESTOR STEWARDSHIP
 
  • Best approaches to setting and improving standards in the hedge fund industry
  • Case Study: Best Practices in the Hedge Fund Industry 
  • Case Study: Investors as the driving force behind the standard
setting process? 
  • Interactive discussion: How and why are hedge funds continuing to adapt to investor requirements
  • What is “inside information” and how to protect it
  • Case Study: Market Abuse – procedures for monitoring trading activity
  • Anti-Money Laundering compliance
  • Evolutions in risk management thinking and practice since the financial crisis
  • New risk management techniques and strategies implemented by leading funds 
  • Case Study: How can the CCO identify and minimize risk within a fund? 
  • New thinking on effectively valuing illiquid assets 
  • Interactive discussion: Is there a fundamental conflict of interest when valuing illiquid assets and can this be avoided? 
  • Achieving best practice in operational risk management and ensuring effective and successful due diligence processes 
  • Identifying key criteria that represent a sound HF operating model 
  • The importance of making the right prime broker, custodians and counter-parties choices 
  • Evolutions in due diligence processes and operational risk management practices over the last few years
  • The impact of technology on your compliance plan 
  • How to cost-effectively implement / improve your compliance plan in relation to today’s changing standards
  • Wrap-up session

Carl Pitchford

Carl has a B.A. (Hons) in Economics and Modern Languages and is a Certified Internal Auditor. He started his career as a lecturer at the University of Lille and the Edhec Business school, both based in France. For 5 years, Carl was also an independent financial/investment advisor for Union Financière de France. His clients included HNWIs and Family Offices. In 1998, he set up an independent consultancy and training business. 
 
His client base includes investment banks, private equity firms, asset management firms, family offices, hedge funds, as well as listed and non-listed family firms. Carl delivers training and consultancy services across the globe. 
 
Since starting his business, Carl has been actively involved in the financial services, alternative investment and internal audit sectors. He has developed and delivered numerous bespoke seminars and practical workshops on compliance, risk management, due diligence, anti-money laundering, alternative investment products and fundraising.

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Hedge Fund Compliance <p>There has been considerable focus on the hedge fund industry during the last two years, amid&nbsp;cyclical investment returns, regulatory sanctions and significant EU developments.&nbsp;</p> <p>This two-day course is designed to demonstrate to fund managers exactly what the most important regulatory issues are, how to deal with regulatory bodies and how to demonstrate compliance with the key ar ... In-Company