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| The management of reputational risk for any organisation is critical. In this section we examine how financial services companies can meet compliance obligations and develop professional standards among its staff to achieve this goal. | |||||
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Introduction to Derivatives from a Trustee’s Perspective
Delegates: Staff working in Trustee or Valuation departments dealing with derivatives in regulated funds
Topics covered include:
- Role of Trustee
- Risks in an investment fund
- Introduction to Derivative Securities
– Forwards
– Futures
– Options
– Swaps - Stock-lending and Repurchase agreements
- UCITS/Non-UCITS Regulations
- Reporting to shareholders and regulators
Introduction to General Compliance Issues in Investment Funds
Delegates: Staff working in Trustee or Compliance
areas
Topics covered include:
- Introduction to Risk and Risk Management
- Brief overview of VaR – uses and limitations
- Highlighting areas of concern – exposure to risk
- IFSRA the Regulator
- Overview of EU Taxation and Savings Directive
- Introduction to UCITS and NU Regulations
- What is SAS 70?
- Listing on the Irish Stock Exchange
- Capital Adequacy Directive
Customer Services & Professional Standards in Fund Administration
Delegates: Staff working in any area of fund
administration
Topics covered include:
- Building and maintaining reputation
- Controls and Procedures
- Professionalism in staff
- Service Level Agreements - creation and monitoring
- Procedures
- Who are the customers
- What is service?
- Hallmarks of good v bad service
- Telephone use
- Use of voicemail
- Correspondence, including business writing
- Use of E-mail
- Reporting/Deadlines
- Turnaround times for queries
- IFSRA reporting
