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.
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.
1/ The Luxembourg Investment Fund Industry
2/ Role & Responsibilities of a Transfer Agent
3/ Fund Distribution
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.
Our lead expert
|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.
Number of participants : limited to 15 participants, to ensure appropriate level of interactivity
Duration : 1,5 days