Ethics and Compliance in Portfolio Management

Implementing financial regulation

Course objectives

  • Master the regulatory framework
  • Understand the risks specific to the various investment management styles
  • Understand the scope of the compliance and internal audit function

Regulatory framework

  • Regulation actors
  • Impact of the CRBF 97-02 regulation
  • The AMF ruling
  • The MIFiD and its impacts

Internal audit and compliance in investment firms

  • The context
  • Scope and competences of the Compliance and Internal Audit Officer
  • The internal audit and compliance infrastructure
  • Risk management applied to specific investment portfolio management methods:
    • Quantitative management
    • Alternative management
    • Individual management
  • Reporting

Case study:

- Detailed analysis of the internal audit and compliance framework within a portfolio management firm

- Analysis of a control procedure

Ethics in portfolio management

  • Self regulation and ethics
  • Preventing conflicts of interest
  • Personal transactions
  • Markets ruling
  • The whisle blowing procedure

Case Study: implementation of a Chinese wall procedure

This syllabus is in line with AMF certification exam body of knowledge.

Christine Turpaud

Christine Turpaud

Christine has 20 years of experience in investment banks, including 10 years as an analyst "fixed income" and 5 years in Structured Finance Middle Office. She has created a company for valuation of bond portfolios and transaction control. She is responsible for the Bärchen’s preparation for professional certifications.

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