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OEICS and Unit Trust Administration
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Click here to register now!
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DATES & LOCATIONS
FOR THIS 2-DAY EVENT
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Oct 28
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London
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Mar 17
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London
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Background
This course covers the whole administration process under COLL for both OEICS and Unit Trusts. It also covers the remaining differences and also details the new types of Authorised Schemes.
The course provides a useful practical review of all the main Administrative Operations in both OEICS and Unit Trusts under the recently introduced COLL regulations. Therefore it is useful for those who have seen only one aspect and want an overview or for those who want a refresher on Fund Administration.
MAIN CONTENT SECTIONS
BACKGROUND
Enabling Legislation and Regulations
New Sourcebook structure and implementation
OEIC/Unit Trust structure players and functions
OEIC/Unit Trust comparison under COLL
Categories of Retail funds and characteristics
Non Retail (Qualified Investor Scheme) and Characteristics
Main UCITS requirements
Types of Share/Units
The Constitutional Documents
FUND DOCUMENTATION
INVESTOR RELATIONS
VALUATION AND PRICING - RETAIL / NON RETAIL FUNDS
DEALING – RETAIL / NON RETAIL FUNDS
DISTRIBUTIONS
EQUALISATION
TITLE AND REGISTERS
OTHER AREAS
Anti Money Laundering Procedures
Client Money Compliance
Complaints Handling
Stamp Duty Reserve Tax
COMMON MISTAKES AND ERRORS
COMPLIANCE BREACHES
INVESTMENT & BORROWING POWERS
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