Introduction to Transfer Agency
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Introduction to Transfer Agency

courseType Technical Skills, Financial Sector

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Phone +352 49 48 48 4040
Mail pwcacademy@lu.pwc.com

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2 rue Gerhard Mercator
L-2182 Luxembourg
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General course details

Introduction

Over the past decades, the landscape of the investment fund industry has been reshaping itself, adapting to the evolving needs and expectations of investors and distributors. Along with that shift have come changes in the way the Transfer Agents operate, organise, manage risk, implement regulations and interact with other stakeholders of the investment funds value chain.

Our training aims at preparing you to understand and perform your Transfer Agent tasks and responsibilities efficiently, in line with Luxembourg market practice and regulations. Our TA experts deliver an impactful and involving training programme for young and more experienced TA staff who wish to develop further and efficiently in their role.  

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Objectives
At the end of the training programme, participants will be able to:
  • Explain the ecosystem of the Luxembourg investment funds: historical evolution, current context, fund types and structures, regulatory framework and key players.

  • Explain the origin and the evolution of Transfer Agency, understand the different TA models, understand all the processes and teams of a Transfer Agent, understand the steps of the fund value chain and how the TA teams interact with other stakeholders

  • Determine and reduce the operational risks of the Transfer Agent activity, comply with AML principles and rules, understand cross-border fund distribution and explain the regulations impacting Transfer Agents. 

Content

1/ The Luxembourg Investment Fund Industry

  • Introduction
  • Types and structures of investment funds
  • Key players of the investment fund cycles

2/ Role & Responsibilities of a Transfer Agent

  • Origins and models
  • Teams and departments
  • Process workflows
  • Process detailed description
  • IT tools
  • Operational risks and controls

3/ Fund Distribution

  • Definitions
  • History and current trends
  • Distribution channels
  • Distributors remuneration

4/ Regulatory Framework

  • With direct impact on TA activity (UCITS, T2S, AIFMD, MiFID II, FATCA, etc)
  • No impact on TA activity (EMIR, Dodd Frank, etc)

The "+" of this training

This training programme engages the participants through exercises, polls, quizzes and many interactive activities with the experts in order to maximise the learning experience.

Target audience

  • Any person with a Transfer Agent role or responsibility

  • Any person who interacts with Transfer Agents and wishes to understand more clearly their role and responsibilities

Our lead expert

 
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Patrick Hennes, Director at PwC Luxembourg.

Patrick is a Director with PwC and has 23 years of experience in public and private financial sector. His last 18 years in Luxembourg gave him a deep insight of the international fund industry, in particular in the Transfer Agency Business.
His deep knowledge of corporate finance, Luxembourg financial law as well as CSSF regulations allowed him to take part in major projects in Luxembourg. His complementarity of Systems and Business knowledge gave him the opportunity to work on important system implementations.

Practical information

Language : English
                   This training is also available in French

Number of participants : limited to 15 participants, to ensure appropriate level of interactivity

Duration : 1,5 days



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