Training for the Future


Financial Markets Regulations

Course Code: FMR

Dates: 5 Dec - 9 Dec | 17 Apr - 21 Apr | 3 Jul - 7 Jul | 25 Sep - 29 Sep | 4 Dec - 8 Dec

Price: £2750 Plus VAT

Duration: 1 Week /s

Course Objectives

The challenge of fully understanding the range and scope of financial market regulation become harder as the alternation investment industry enters a period of major regulatory transition. This half-day course sheds light on the redress markets imbalances, prevent excessive exposures and repair process dislocations within the alternative investment markets.

Who Should Attend?

-Regulatory/compliance staff seeking an update to realign current thinking and strategies
-Operations personnel assessing current regulatory developments
-Hedge fund staff seeking a clearer view of changing obligations
-Solution providers wishing to enhance products and services


Prerequisite Courses

None


Course Overview

  • UK Regulation

  • -The current FSA regulatory framework
    -Toward 2012: The Bank of England & CPMA

  • The EU AIFM Directive

  • -Key drivers
    -Assessing the impact e.g. costs
    -Hedge fund (incl. UCITS) and private equity perspectives

  • The Hedge Fund Space

  • -Current regulatory landscape and trends
    -Assessing the UCITS proposition
    -Towards hedge fund Mk II

  • Private Equity (PE) in the UK

  • -Origins and objectives
    -Current FSA statutory powers
    -Public-to-private rule changes

  • The VCT Market

  • -Contributors to anticipated growth

  • Middle East (ME) Markets

  • -ME Investors and global hedge fund exposure
    -Analysis global interest to the ME

  • Conflicts of Interest (IOSCO

  • -PE funds and investors: alignment issues and mitigation approaches


    Learning Goal

    At the end of the course, delegates should have:

  • Understanding of keys themes within the regulation discussion

  • Clarity regarding the impact of current and future directives (e.g. AIFM, UCITS, MiFID, Basel)




  • Course Materials

    Course notes, handouts

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