Training for the Future


Investor Protection Funds Dubai

Course Code: IPF

Dates: 11 Dec - 15 Dec | 6 Mar - 9 Mar | 16 Jul - 20 Jul | 3 Sep - 7 Sep | 5 Nov - 9 Nov | 10 Dec - 14 Dec

Price: £2750

Duration: 1 Week /s

Course Objective

To ensure students are conversant with the demands and regulatory responses concerning investor
protection and associated member firm responsibilities. This course will equip students with a deep
understanding of IPF structure and operations, with appreciation of the various models established
in several jurisdictions while also recognising the developing nature of this area, primarily in
response to recent financial turmoil.

Who Should Attend

Financial Analysts, Accountants, Financial Regulators, Portfolio Managers, Securities Analysts,
Credit/Investment Analysts, Auditors.

Prerequisite Courses

None

Course Overview

  • The IPF Objective

  • Regulatory Approaches

  • A History of Failure

  • Real World Review: Case Study 1

  • The Landscape of Exposure (incl. the Credit Crunch)

  • Investor Profiles Define some guidelines for various investor profiles

  • Risk Management Competencies, Practices and Metrics

  • Real World Review: Case Study 2

  • Current and Emerging Regulations

  • Legislative Support and Law Reform

  • Retail and Wholesale Perspectives

  • IPF Membership and Corporate Governance

  • IP Roles and Responsibilities
    Analysing an IP scenario to determine a regulatory response

  • The Canadian Model (CIPF)

  • IPF Operations

  • IPF Assessment

  • US (SIPC), UK(FCA/PRA) and Euro provisions

  • Investment Managersí Obligations

  • Assess the need and issues surrounding global alignment of Investor Protection

  • Emerging Markets/Financial Infrastructures (Incl. Nigeria and India)

  • Establishing an IPF; due diligence and structure

  • Maintaining an IPF; review and renew

  • Invoking an IPF claim; eligibility, process and pecuniary remedy

  • Suspension of Investment Activities (incl. liquidation of assets)

  • Managing and decommissioning of Investor Accounts

  • Real World Review: Case Study 3

  • Closing an IPF; reasons and operational responsibilities Assessing the efficacy of IP operations

  • Assess the need and issues surrounding global alignment

  • The Far East: Japanese (JIPF) and Thailand (SIPF) Provisions

  • Promoting Investor Education

  • IPF Pitfalls and Detractors

  • The future re. IP (fiduciary care and probity/integrity of investment management)

  • Participants Assessment: Short exam reviewing the past week


  • Course Materials

    Course notes, handouts
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