Course Information
- Course Price
£4895 Plus VAT
- Location UK Courses
- Course Code IPF
- Course Date 17 Mar - 21 Mar 2025
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 Managers� 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