Professional Qualification in Investment Funds

OPC

House of Training / Brochures et dépliants

Comprehensive Training offer in Investment Funds: 65 training modules and 6 career pathways (Certified Fund Accountant (Junior & Senior), Certified Transfer Agent, Certified Depositary Bank Agent, Certified Fund Lawyer, Fund Compliance Officer)

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1. PROFESSIONAL QUALIFICATION IN INVESTMENT FUNDS 2017 FONDS D’INVESTISSEMENT

11. SENIOR FUND SPECIALIST For those seeking a more polyvalent and transversal qualification in funds, not just specializing in one particular domain, the House of Training also offers a more comprehensive certificate for which the eligibility criteria are indicated below. Alongside traditional funds, this certificate also includes a fundamental knowledge of alternative investment funds (Real Estate, Private Equity and Hedge funds). Due to the constant evolution of the fund industry, the composition of this certification has been regularly updated. Upon request, candidates having worked towards this certification over an extended period and based upon previous requirements, may also be considered for eligibility. To obtain this particular certification the candidate who fulfills the conditions listed below must submit an application. The application form can be downloaded from our website. Conditions • Having obtained the “Fundamentals” certificate. • Having obtained one of the following career path certifications: • Senior Fund Accountant • Depositary Bank Agent • Fund Lawyer • Having passed the examinations of each module: • Comptabilité OPC - Fondamentaux/ UCIs Fund Accounting - Fundamentals • Registrar and Transfer Agency - Fundamentals/ Registrar and Transfer Agency - Fundamentals (FR) • Politique et restrictions d’investissement des UCITS - Fondamentaux/ Investment Policies and Restrictions of UCITS - Fundamentals • Compliance in Funds - Instroduction to the Rules of Conduct and Management Companies - AIFMs • Risques Financiers - Fundamentaux/ Risk Management - Fundamentals • Depositary Bank-Roles, Responsibilities and Key Functions - Fundamentals/ Depositary Bank- Roles, Responsibilities and Key Functions - Fundamentals (FR) • Having passed the examinations of 2 of the modules listed hereunder: • Hedge Funds - Fundamentals • REIF - Real Estate Fundamentals • Private Equity - Fundamentals • UCITS & Non-UCITS Management Companies and AIFMs - Fundamentals • Fund of Hedge Funds - Understanding the Specifics of Accounting and Custody • Organisation et vie sociale des OPC luxembourgeois - Fondamentaux/ Organisation and Legal Life - Fundamentals • AML for Funds - Implementation • Comptabilité OPC - Mâitriser le calcul et le contrôle des commissions de performance • Risk Management in Investment Funds - Mastering it 11 03

2. HOUSE OF TRAINING Formally established in 2015, the House of Training brings together, under a single roof, two training institutes renowned for their expertise and their vast offerings in the field of continuing vocational training in Luxembourg. These institutions are the « Luxembourg School for Commerce (LSC) », training institute of the Chamber of Commerce, and the « Institut de Formation Bancaire, Luxembourg » (IFBL), training institute of the Luxembourg Bankers’ Association (ABBL). The Financial Technology Transfer Agency (ATTF) also has joined the House of Training on 1st January 2016, bringing with it a significant international dimension. www.houseoftraining.lu Luxembourg is recognized as a centre of excellence for the domiciliation and the administration of investment funds. The ever growing industry and the development of highly sophisticated products which are administrated in Luxembourg require a continuous sharpening of the technical know-how. These competences may be acquired through specific training pathways which are flexibly adapting to the changes in the fund industry. The courses are taught by business experts and organised by the House of Training in partnership with ALFI. Partners ALFI The Association of the Luxembourg Fund Industry (ALFI) is a non- profit making association that is the representative body of the Luxembourg investment fund community. Created in 1988, ALFI is a member of European Fund and Asset Management Association (EFAMA) and International Investment Fund Association (IIFA) and has as its mission to “lead industry efforts to make Luxembourg the most attractive international centre for investment funds”. ALFI has as its objective to help its members capitalise on industry trends, shape regulation, encourage professionalism, integrity and quality and to promote the Luxembourg investment fund industry. www.alfi.lu PROFESSIONAL QUALIFICATION IN INVESTMENT FUNDS 2

12. More information More information about the course content and objectives, the target audience, the exact schedule, etc. can be found on our website www.houseoftraining.lu Registrations Registrations for the training modules and/or exams are to be made online via our website. They have to be made at least 5 days before the beginning of the training course/exam. Registration fees The fees indicated in this flyer represent the basic fees. These can vary, depending on several options chosen by the participant (training material, exam fees, etc.). All prices are indicated without VAT (3%). Exams Exam sessions take place every Tuesday and every last Thursday of each month, except on school holidays. Training location Unless otherwise indicated in the registration confirmation, all courses take place at the: Training Centre in the Chamber of Commerce 7, rue Alcide de Gasperi L-1615 Luxembourg Contact House of Training - Customer Service customer@houseoftraining.lu BP 490 L- 2014 Luxembourg Tel.: +352 46 50 16 – 1 www.houseoftraining.lu Terms and conditions as stated on our website www.houseoftraining.lu are applicable.

7. TRANSFER AGENT Prerequisites: The Fundamentals certificate Setting up an investment fund: The transfer agent is the intermediary between investors, distributors and the investment fund. Transfer agency professionals handle subscriptions, redemptions, switches and manage cash. They manage investor documentation whilst performing the necessary controls required within the regulatory framework of anti money laundering and watch over fund events related to the funds’ portfolios. Target Audience This training pathway targets fund industry professionals wishing to develop their career within a transfer agency. Contents This training pathway is composed of a number of training courses which are offered in French and/ or in English. Details of each course are to be found on our website. MODULE IN FRENCH MODULE IN ENGLISH DURATION PRICE Register and Transfer Agency - Fundamentals (FR) (cours enseigné en français avec un support en anglais) Register and Transfer Agency-Fundamentals (EN) 8 hours 195 € N’existe pas en français AML for Funds- Implementation 8 hours 195 € Examinations are available for each of the individual modules above. The pass mark is 50% and they are all multiple choice exams. Any candidate who has successfully passed all examinations for a certification may request the delivery of a formal certificate using the appropriate request form, available on our website. 7

6. MODULE IN FRENCH MODULE IN ENGLISH DURATION PRICE N’existe pas en français European Fund Taxation and Reporting for Non Tax Specialists - Introduction 8 hours 195 € NAV Errors & Breaches – Circ. 02/77 (FR) (cours enseigné en français avec un support en anglais) NAV Errors & Breaches– Circ. 02/77 (EN) 8 hours 255 € Comptabilité OPC - Contrôler une VNI Not available in English 12 hours 385 € Comptabilité OPC – Maîtriser le calcul et le contrôle des commissions de performance Not available in English 8 hours 320 € N’existe pas en français IFRS Principles applied to UCIs - Basics 8 hours 195 € FUND ACCOUNTANT (SENIOR) Prerequisites: The Fundamentals certificate and Fund Accountant (Junior) certificate. Target Audience This training pathway targets fund industry professionals who have already obtained the Fund Accountant (Junior) and / or wish to develop their career further as a fund accountant. Contents This training pathway is composed of a number of training courses which are offered in part in French and/ or in English. Details of each course can to be found on our website. Examinations are available for each of the individual modules above (except for the optional module). The pass mark is 50%. Any candidate who has successfully passed all examinations for a certification may request the delivery of a formal certificate using the appropriate request form, available on our website. 6

9. FUND LAWYER Prerequisites: The Fundamentals certificate Fund lawyers define the legal form of the fund, create its component documents and prepare files for other service providers and the authorities. They follow the evolution of legislation relative to investment funds. Target Audience This training pathway targets lawyers and fund industry professionals wishing to develop their career as a fund lawyer. Contents This training pathway is composed of a number of training courses which are offered in French and/ or in English. Details of each course are to be found on our website. MODULE IN FRENCH MODULE IN ENGLISH DURATION PRICE N’existe pas en français International Fund Registrations-Fundamentals 8 hours 195 € Fiscalité des OPC luxembourgeois - Fondamentaux Not available in English 4 hours 100 € Organisation et vie sociale des OPC luxembourgeois - Fondamentaux UCIs: Organisation and Legal Life-Fundamentals 8 hours 195 € Politique et restrictions d’investissement des UCITS - Fondamentaux Investment Policies and Restrictions in UCITS- Fundamentals 8 hours 195 € Produits dérivés pour juristes OPC - Fondamentaux Not available in English 8 hours 195 € N’existe pas en français UCITS/Non-UCITS Man - agement Companies and AIFMs-Fundamentals 8 hours 195 € Admettre un OPC à la cotation Not available in English 4 hours 130 € Examinations are available for each of the individual modules above (except for the optional module). The pass mark is 50% and they are all multiple choice exams. Any candidate who has successfully passed all examinations for a certification may request the delivery of a formal certificate using the appropriate request form, available on our website. OPTIONAL N’existe pas en français Governance-Roles and Responsibilities of Fund Directors 16 hours 1.475 € 9

10. FUND COMPLIANCE OFFICER (NON CERTIFYING) Prerequisites: The Fundamentals certificate (recommended) The Compliance Officer has the mission to protect the fund against damage that could result from the failure to respect the statutory and ethical legislative standards. Target Audience This training pathway targets fund industry professionals wishing to develop their career as a compliance officer within the fund industry. Contents This training pathway is composed of a number of training courses which are offered in French and/ or in English. Details of each course are to be found on our website. MODULE IN FRENCH MODULE IN ENGLISH DURATION PRICE Compliance Fondamentaux (FR) (cours enseigné en français avec un support en anglais) Compliance - Fondamentals (EN) 8 hours 195 € N’existe pas en français Compliance in Funds- Introduction to the Rules of Conduct and Management Companies/AIFMs 8 hours 195 € Politique et restrictions d’investissement des UCITS - Fondamentaux Investment Policies and Restrictions in UCITS- Fundamentals 8 hours 195 € Risques financiers - Fondamentaux Risk Management - Fondamentals 8 hours 195 € NAV Errors & Breaches – Circ. 02/77 (FR) (cours enseigné en français avec un support en anglais) UCIs: NAV Errors & Breaches – Circ. 02/77 (EN) (cours enseigné en français avec un support en anglais) 8 hours 255 € N’existe pas en français Risk Management in Investment Funds - Mastering it 16 hours 665 € Restrictions d’investissement complexes - La pratique Not available in English 8 hours 195 € Examinations are available for each of the individual modules above (except for the optional module). The pass mark is 50%. This career path does not offer a certification at this time. For more information regarding certification in compliance please refer to Certifications in Compliance on our website or contact our customer service team. OPTIONAL N’existe pas en français Governance-Roles and Responsibilities of Fund Directors 16 hours 1.475 € 10

3. Training overview The training offer proposes 5 certifying career pathways, each one composed of several training courses. The duration of a course (or “module”) varies between 4 hours and 3 days. Each module focuses on specific learning objectives as well as on a precise level of understanding. These are specified in the title of the course as follows: • Understanding the fundamentals • Improving your know-how • Mastering a subject / an activity • Dealing with specificities. For these courses there is no optional examination To obtain a certification a candidate has to pass all the examinations of the certificate “Fundamentals Certificate” as well as of the chosen career pathway. Candidates who wish to obtain a global certification in addition to a particular career certification can select a number of courses out of the Senior Fund Specialist offer. PROFESSIONAL QUALIFICATION IN INVESTMENT FUNDS 01 Fundamentals Certificate 9 courses 68 hours Written examination 1 exam per module 02 Career Pathways Certified Fund Accountant (Junior) 8 courses 72 hours Certified Fund Accountant (Senior) 5 courses 44 hours 1 optional course: 12 hours Certified Transfer Agent 2 courses 16 hours Certified Depositary Bank Agent 11 courses 88 hours Certified Fund Lawyer 7 courses 48 hours 1 optional seminar: 16 hours Fund Compliance Officer 7 courses 64 hours 1 optional seminar: 16 hours Written examination 1 exam per module 03 Senior Fund Specialist 1 specified career pathway certification + a series of cross-sectional examinations 3

8. MODULE IN FRENCH MODULE IN ENGLISH DURATION PRICE Futures - Fondamentaux Not available in English 8 hours 195 € IRS et swaps financiers - Fondamentaux Not available in English 8 hours 195 € Options et warrants - Fondamentaux Not available in English 8 hours 195 € Produits structurés - Fondamentaux Not available in English 8 hours 195 € Back-office titres - Fondamentaux Back-Office Roles & Operations-Fundamentals 4 hours 100 € Back-office : custody et settlement – Traiter les transactions sur titres Not available in English 8 hours 255 € Back-office : custody et settlement - Maîtriser et contrôler les transactions sur titres Not available in English 16 hours 635 € Depositary Bank-Role, Responsabilities and Key Functions-Fundamentals (FR) (cours enseigné en français avec un support en anglais) Depositary Bank-Role, Responsabilities and Key Functions-Fundamentals (EN) 8 hours 195 € N’existe pas en français Depositary Bank-Role and Responsibilities in Practice 8 hours 255 € N’existe pas en français UCITS/Non-UCITS Management Companies and AIFMs- Fundamentals 8 hours 195 € Politique et restrictions d’investissement des UCITS - Fondamentaux Investment Policies and Restrictions in UCITS- Fundamentals 8 hours 195 € DEPOSITARY BANK AGENT Prerequisites: The Fundamentals certificate Setting up an investment fund: Custodian and depositary bank professionals are tasked with the monitoring of investments and ensuring the availability of the assets of the funds. They ensure that investments are made in conformity with the policies and restrictions of the funds and manage the corporate actions of the shares that the funds are invested in. People wishing to obtain this certification, who are able to provide a recognized examination certificate proving that they have the required knowledge in any of the financial products subjects, may request possible exemptions. Target Audience This training pathway targets fund industry professionals wishing to develop their career within a depositary or custodian bank . Contents This training pathway is composed of a number of training courses which are offered in French and/ or in English. Details of each course are to be found on our website. 8

5. FUND ACCOUNTANT (JUNIOR) Prerequisites: The Fundamentals certificate Setting up an investment fund: The fund accountant books all the transactions and the operations having an impact on the assets of a fund. His / her role also includes the valuation of funds in order to determine their net asset value and to prepare financial statements. People wishing to obtain this certification, who are able to provide a recognized examination certificate proving that they have the required knowledge in any of the financial products subjects, may request possible exemptions. The Fund Accountant career path is split into two certificates “Junior” and “Senior”. Target Audience This training pathway targets fund industry professionals wishing to develop their career as a fund accountant. Contents This certification path is composed of a number of training courses which are offered in French and/ or in English. Details of each course can to be found on our website. MODULE IN FRENCH MODULE IN ENGLISH DURATION PRICE Futures - Fondamentaux Not available in English 8 hours 195 € IRS et swaps financiers - Fondamentaux Not available in English 8 hours 195 € Options et warrants - Fondamentaux Not available in English 8 hours 195 € Produits structurés - Fondamentaux Not available in English 8 hours 195 € Comptabilité OPC - Fondamentaux UCIs : Fund Accounting- Fundamentals 8 hours 195 € Comptabilité OPC – Fondamentaux de la valorisation des investissements UCIs: Investment Valuation 12 hours 295 € Comptabilité opérations classiques OPC UCIs: Booking Standard Transactions 12 hours 385 € Comptabilité OPC - Opérations complexes en pratique UCIs : Fund Accounting Advanced 8 hours 255 € Examinations are available for each of the individual modules above. The pass mark is 50% and they are all multiple choice exams. Any candidate who has successfully passed all examinations for a certification may request the delivery of a formal certificate using the appropriate request form, available on our website. 5 CAREER PATHWAYS 02

4. FUNDAMENTALS CERTIFICATE Prerequisites: None The Fundamentals Certificate is a prerequisite for all of the certifications in this House of Training / ALFI training offer and provides: a fundamental knowledge of the legal, regulatory and ethical context of the investment fund industry in Luxembourg as well as the fundamentals of the classic underlying financial instruments and the standard operational flows. People wishing to obtain this certification, who are able to provide a recognized examination certificate proving that they have the required knowledge in the financial products subjects, may request possible exemptions. Target Audience This training pathway targets a broad audience, i.e. anyone wishing to acquire a fundamental knowledge in the investment fund industry in Luxembourg. Contents This training pathway is composed of a number of training courses which are offered in French and/ or as in English. Details of each course can be found on our website. MODULE IN FRENCH MODULE IN ENGLISH DURATION PRICE Place financière - Acteurs, activités et atouts Not available in English 8 hours 195 € Lutte contre le blanchiment d’argent & KYC - Fondamentaux Anti-Money Laundering & KYC Fundamentals 4 hours 100 € Marchés des capitaux - Fondamentaux Capital Markets- Fundamentals 8 hours 195 € Change - Fondamentaux Not available in English 8 hours 195 € Taux - Fondamentaux Not available in English 8 hours 195 € Obligations - Fondamentaux Bonds-Fundamentals 8 hours 195 € Actions - Fondamentaux Shares-Fundamentals 8 hours 195 € OPC luxembourgeois – Fondamentaux des acteurs et du cadre légal UCIs : Actors & Legal Environment in Luxemburg 8 hours 195 € OPC luxembourgeois – Fondamentaux des flux opérationnels UCIs : Operational Flows 8 hours 195 € Courses in detail 4 01

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