Module

Regulation, risks and checks

Explains the regulatory frameworks, risk categories and control checks that govern funds and managers.

4 lessons • 600 XP available

Lessons

1
The rulebook that governs a fund: UCITS, AIFMD and the '40 Act

Distinguish UCITS, AIFMD and '40 Act fund rules.

+150 XP
2
Mapping the risk stack: market, credit, liquidity and operational

Map market, credit, liquidity and operational risks in funds.

+150 XP
3
Stress testing and VaR: quantifying what could blow up

Quantify potential losses using stress testing and VaR.

+150 XP
4
Operational due diligence: the checks that vet a manager before a dollar moves

Run the checks that vet a manager before investing.

+150 XP