Module
Regulation, major laws and compliance
Explains the regulators, major laws, AML and KYC obligations, and how to build a compliant asset management function.
5 lessons • 750 XP available
Lessons
1
The regulatory map: who actually governs an asset manager
+150 XPIdentify the regulators that govern an asset manager.
2
The investment company and advisers acts in practice
+150 XPApply the Investment Company and Advisers Acts in practice.
3
MiFID II and UCITS: how Europe reshaped the business
+150 XPSee how MiFID II and UCITS reshaped European business.
4
AML, KYC and the sanctions regime you can't ignore
+150 XPMeet the AML, KYC and sanctions obligations you cannot skip.
5
Building the compliance function that keeps you licensed
+150 XPBuild the compliance function that keeps your license valid.