Portfolio Management, Investment Analysis, Risk and Regulatory Compliance

The programme aims to provide an overview of investment analysis and risk for CIF, UCITS, and AIF professionals, setting the foundations for the proper conduct of risk management. Furthermore, the course will offer the most popular fund management strategies, which can be employed by AIF professionals, as well as professionals working in CIFs which hold the portfolio management license.

This programme offers professionals the opportunity to enhance their knowledge on topics which are highly valued in today’s markets. At the same time, the course elaborates on how these strategies that need to be adjusted in order to abide by the prospectus law, whilst at the same time be within the AIFM/UCITS legal limits.

The programme is split in two days, with the first focused on investment analysis and risk management, with further emphasis on the compliance side of analysis and how analysis relates to the investment advice regulation. On the second day, the programme will provide an overview of the most popular investment strategies, examining how these are affected by prospectus law and the AIFM/UCITS regulation. The programme will offer practical strategy examples throughout the course duration.

Training Objectives:

By the end of this programme, participants will be able to:

• Learn how analysis fits the compliance and investment advice regulations
• Examine how risk management and investment analysis combine
• Understand the most popular fund strategies and how these are implemented
• Learn how prospectus law and other regulations affect such strategies

Training Outline

• An overview of investment analysis basics
• The compliance side of analysis – how analysis fits into a CIF’s strategy
• A deeper look into analysis: correlations and regressions
• Analysis in AIFs and UCITS: meeting the investment advice criteria
• An introduction to Risk Management
• The role of the Risk Manager in the AIF/UCITS regulation
• The compliance side of risk management
• What is a Fund Strategy? Strategies under the AIF/UCITS regulation
• Long/Short Equity, Market Neutral
• Fixed-Income Arbitrage Strategies
• Event-Driven Strategies, and Short-Only
• Global Macro Strategies
• What are the limits? A compliance-based approach to fund strategies
• Compliance-based risks of AIFs. An overview of the sector
• Portfolio and Risk Management: Independent but Correlated

CPD Recognition

This programme may be approved for up to 10 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

Professionals requiring CPD units to meet the education requirements for CySEC licence renewal, and/or for maintaining other professional memberships/certifications which accept CPD in Financial Regulation, are advised to consider training subjects in categories that indicate CPD training in Financial Regulation.