Compliance in Funds - Introduction to the Rules of Conduct and Management Companies/AIFMs (virtual classroom)

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  • Icon Complet
  • Icon 8 h
  • icon Formation à distance
  • Icon English
  • Icon VI032CJ
195,00 EUR


(+3% TVA)

Virtual classroom

In response to the current situation related to the coronavirus COVID-19, the House of Training is delighted to announce that this training is now accessible as a virtual class.

This format, perfectly adapted to any staff member aiming to develop their skills remotely, has various benefits:

  • It allows you to train yourself while avoiding any physical movement

  • Maximum efficiency is guaranteed due to an adaptation of session durations according to this kind of training

  • Regular interaction between the trainer and the learners is assured thanks to modern technology tools

Registration is easy!

If you wish to attend this training, please click on “S'inscrire” and choose “virtual classroom”.

In order to conveniently attend the virtual classroom, kindly review the following recommendations.


After completing this course, participants will be able to:
  • Understand ethics with regard to investment funds, their origins and how to identify bad practices
  • Understand the rules of conduct in funds and Management Companies and related professional obligations
  • Understand the rules of market abuse and their specific application to investment funds
  • Understand how to handle customer complaints
  • Understand the key principles of managing conflicts of interest
  • Understand the obligations with regard to confidentiality and data protection


  • Introduction
  • Professional ethics in funds, rationale and development, example of bad practice and misconduct in the fund business
  • Governance and ethics in funds
  • Rules of conduct in funds and Management Companies
  • Market abuse and insider trading in relation with funds, with a particular focus on personal transactions dealing and high frequency trading
  • Customer complaints handling
  • Management of conflicts of interest
  • Data protection and confidentiality rules
  • Case studies


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