Course Description: The first part of the course examines the products used and the income structures employed by asset managers as well as looking at the regulatory structures surrounding the business. The second module identifies the key business risks that one expects to encounter and the final two modules look in some depth at the essential internal controls which need to be in place. This includes Macro Investment Decisions, Product Design, Marketing, Legal documentation, Client Mandates and the overall Investment Process. It concludes with an examination of The Dealing Function, Portfolio Management, Valuation, Operations, Redemption and Performance Attribution.
Target Audience: Auditors and those involved in determining the existence and adequacy of internal controls within the world of asset management.
Course Length: Four modules, each approx. 45 minutes.
Knowledge Check: This course does not have a built in knowledge check, but a certificate of completion can be provided for CPD purposes.