Key Regulations for Fund Management

This programme is only available on in-company basis. Please, contact us for more information

Course Description

Fund Managers together with their service providers need to ensure that their funds are operated in a compliant manner, complying with all regulations that are in force. 

There is however a greater challenge today than ever due to the increasing demands of regulation and the greater complexity of funds. 
This practical one-day workshop will equip you with the most up-to-date knowledge
about the latest regulatory requirements applicable to both authorised, and alternative funds.
You will have a chance to explore the impact of MiFID II, assess the status of FATCA, CRS and AIFMD Reporting and look at other regulations that have recently been implemented such as: SMCR - Senior Managers Regime, SFTR - Securities Financing Transactions Regulation and GDPR. You’ll then look forward to upcoming regulations and the work you should be doing, in order to ensure full compliance in a timely manner.
The programme will run through each regulation at a high level, indicating status of
each and where firms should be in the process. The Tutor will focus on the practical
aspects of each regulation.

What Will You Learn

  • Have a good high-level understanding of all the major regulations affecting funds and their management today
  • Learn about AIF’s and the increased scrutiny they are under
  • Assess the impact of the relevant regulations, documentation and processes that should be in place


If you are interested to learn about any of those regulations in more detail we provide training courses on all of those topics. Please check our course calendar for details. 

Register for any 2 programmes at the same time and you can save £100 + VAT (in total, not per programme). 

Main Topics Covered During This Training

  • Project workstreams and assessment of the impact of MiFID II
  • UCITS Funds and the latest developments under the UCITS V Directive
  • Understand where FATCA/CRS is today
  • Understand where you should be with EMIR and OTC Clearing obligations
  • Learn what SFTR is and what processes should be in place
  • Explore the AIFMD Reporting requirements
  • Learn about Form PF Reporting
  • Receive an overview of upcoming regulations, such as: GDPR, SMCR, BEPS

Who Should Attend

The course is relevant for Fund Managers, Fund Lawyers, Compliance Officers and team members running with the day-to-day management/reporting, likely working in:

  • Legal Teams
  • Fund Operations
  • Regulatory Reporting
  • Fund Governance
  • Compliance

In-company, call us for more information

Overview of Key Regulations for Fund Management

A 1 Day Course


  • Authorised Fund types
  • AIF Structures
  • UCITS Directives
  • UCITS Iterations to V
  • UCITS VI intentions
  • Timescale
  • Project workstreams
  • The impact on fund managers
  • Retrocessions
  • Dealing commission
  • Product suitability
EMIR and OTC Clearing
  • Clearing obligations
  • Caught instruments
  • Documentation


Form PF 

  • AIF’s and Private funds
  • Thresholds
  • Reporting and frequency
SMCR - Senior Managers Certification & Regime
  • FCA Policy change
  • Individual Accountability
  • Regime extension
Tailored Sourcebooks
  • COLL - UK
  • UCITS – Ireland
  • COB
  • SYSC


  • AIFMD Directive
  • AIFMD Thresholds
  • Annex IV Reporting
  • IGA1 and 2
  • Documentation
  • Reporting
CAA - Compliance Assurance Agreement
  • Documentation
  • Reporting
SFTR - Securities Financing Transactions Regulations
  • Purpose
  • Transaction types
  • Disclosures and documentation
GDPR - General Data Protection Regulation 
  • Timelines
  • Erasure rights
  • Sanctions
  • Impacted parties
AML - Anti-Money Laundering
  • Guidelines
  • Prevention
  • Transparency
  • Sanctions

Vivien is a management consultant with 26 years experience of transfer agency, fund administration and wealth management. She received her formal education in South Africa and immigrated to the UK in 1999 where she collectively held various senior roles in investment/fund administration firms, until she undertook her own consultancy practice 10 years ago.

Prior to setting up her own specialist fund administration consultancy, Vivien spent many years as a project manager for system selections and integrations, platform migrations, fund launches and wind-ups and custody migrations. She joined Smith & Williamson Fund Administration in 2000 where she vastly improved process and automation to manually intensive OEIC/Unit Trust operations over a period of 7 years.

Vivien held the role of Head of Operations in multiple firms both in South Africa, notably RMB Asset Management, and then in the UK at Smith & Williamson, and was instrumental in expanding the SA enterprise vastly over a period of 12 years, including a full firm rebranding. 

For the last 10 years Vivien has worked as a business and management consultant with many of the leading managers to implement fund administration services in the UK. She has worked with well known clients across the asset management industry on a range of diverse projects listed above, and also including regulation implementation in the form of EMIR, AIFMD, Form PF, FATCA/CRS, SFTR, MIFID I and II and UCITS I-V.

She is a Chartered Fellow of the Chartered Institute for Securities and Investments and holds status of MSCI. Attaining full Member status indicates a high level of knowledge in financial services as well as a commitment to the principles of professionalism, integrity and excellence. It is both a sign of achieving a higher level financial qualification, and of a desire for professional development.

Key Regulations for Fund Management <p>Fund Managers together with their service providers need to ensure that their funds&nbsp;are operated in a compliant manner, complying with all regulations that are in force.&nbsp;</p> <div>There is however a greater challenge today than ever due to the increasing demands of&nbsp;regulation and the greater complexity of funds.&nbsp;</div> <div>&nbsp;</div> <div>This practical one-day workshop w ... In-company