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€140 - €260
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Designing and Implementing an AIFM Compliance Programme
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Dates
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Highlights
Live Online
10 CPD Units | 10 Hours
HRDA Subsidised
The EIMF Live Online Learning Experience
Participants will receive access to the recorded sessions of the course.
EIMF subject-matter experts deliver engaging and interactive courses across a broad spectrum of areas, that can be enjoyed in the comfort of your own chosen environment. Read more
Course Overview
AIFMs are required to maintain an independent and effective compliance function supported by a structured compliance monitoring programme. However, companies often face challenges in designing risk-based monitoring plans, documenting controls, and demonstrating their effectiveness to regulators.
This course provides practical guidance on designing and implementing an effective compliance framework and monitoring programme for Alternative Investment Fund Managers (AIFMs).
Participants will learn the key measures, policies, and procedures required for the day-to-day management of compliance, ensuring that AIFMs operate in line with all applicable laws and regulations. The course covers the various elements of a Compliance Programme including governance, conflicts of interest, marketing compliance, AML, delegation and outsourcing, capital adequacy, regulatory reporting and other, offering participants a holistic overview what procedures should be in place and their practical implementation. The aim is to equip professionals with the tools to implement robust frameworks, strengthen oversight, and maintain continuous regulatory alignment.
Training Objectives
Participants should after the course:
Be able to Identify the key components of an AIFM Compliance Framework
Understand the core elements of a Compliance Monitoring Programme and the implementation methods
Can specify monitoring methodologies and testing techniques
Be equipped with the tools to implement robust frameworks, strengthen oversight, and maintain continuous regulatory alignment.
Training Outline
The Regulatory Framework of AIFMs
Building a Compliance Framework
The role of the Compliance Officer, Senior Management and BOD
Establishing a Compliance Culture
The Main Regulatory Provisions and their application
Governance and Oversight
Relevant legal provision
Governance Policy
Organisational Structure and Reporting lines
Roles and responsibilities
Suitability Policy and Fit and Proper Requirements
Oversight, Internal Controls and lines of defence
The role of committees
Employment and Directorships
Conflicts of Interest
Conflicts of Interest Assessment
Conflicts of Interest controls and procedures
Conflicts of Interest Policy
Conflicts of Interest Registry
Personal Interests
Personal Transactions
Remunerations and conflict
Separation of roles, segregation of functions, incompatible functions Chinese walls
Access to Information
Gifts and Inducements
Remuneration
Remuneration Controls and Procedures
Remuneration and Policy
Proportionality Criteria
Governance
Remuneration Principles
Variable Remuneration
Remuneration of Control Functions
Risk alignment
Delegation
Identified Staff Register
Disapplication Assessment
Delegation and Outsourcing
Delegation and outsourcing controls
Delegation Policy
Initial Due Diligence
Delegation and Outsourcing Approval
Third party delegation monitoring and review
Marketing Compliance
Marketing Policy
Provision of Information to Investors
Marketing Communications and Publications
Publications Registry
Marketing Compliance controls
Website
Capital Adequacy-Minimum Capital monitoring
Minimum Capital Requirement
Additional Funds
Capital Adequacy
Controls and Monitoring
Anti-Money Laundering Compliance
Company-wide Risk-based Assessment RBA
AML Manual
Governance
AML Reporting
Transactions monitoring and reporting
AML review
Client Acceptance Policy (CAP)
AML Training Programme
Ongoing Licence Requirements
Authorisation Conditions
Participations, close links, outsourcing
Contracts and Agreements
Contracts and Agreements Compliance Controls
Compliance Approval Process
Authorisation and Signatories
Agreements monitoring
Agreements Register
Professional Indemnity
Controls and Procedures
Policy
Coverage & Risk Covered
Assessing Professional Liability Risks
Qualitative Requirements
Own Funds
Complaints and Grievances
Controls and Procedures
Complaints Policy
Assignment of Responsibilities
Clear Submission Channels & Acknowledgement
Investigation and Oversight
Post Resolution Assessment
Valuation
Controls and Procedures
Valuation Policy
Independent Valuation
Valuation Rules, Methodologies & Frequency
External Valuers
Valuation Committees
Disclosure Obligations
Regulatory Reporting
Reporting Calendar
Reports Register
Reporting Monitoring
Record Keeping
GDPR, SFDR/ESG, ICT compliance
Data Protection measures and controls
SFDR /ESG obligations
ICT Framework
Communications with Regulator
Keeping Records of Regulatory communications
Communications Directory
Regulatory Updates and Internal Circulations
Informing the BOD and Senior Management on regulatory developments
Circulating new laws, circulars, directives
Providing periodic and ad hoc compliance reports
Giving compliance advice to the different departments
Compliance Monitoring Programme
Scope and Purpose
Contents and controls
Implementation and running
Who Should Attend
This course is applicable to compliance professionals employed in the Fund Sector or seeking to join the Fund Industry but also other professionals in the Fund Sector such as portfolio managers, risk officers, fund administrators, depositories or third -party professionals such as lawyers and other consultants, who wish to gain an insight into compliance n the Cyprus Funds Law and the Cyprus Funds Industry.
Training Style
The training programme combines presentation slides that will be illustrated and explained to participants with practical examples. Questions by participants will be raised and answered throughout the programme, and practical examples will be provided, where available. Participants will have the opportunity to be actively involved through an exchange of views and personal professional experiences.
CPD Recognition
This programme may be approved for up to 10 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
In-house Training
For groups within the same organisation, this course may be customised to meet any specific needs and delivered in-house.
Facilitators
Athos Myrianthous
Athos is the Chief Compliance Officer (CCO) of ECM Fund Management Ltd, an Alternative Investment Fund Manager focusing on private equity, industry-agnostic strategies and part of the ECM Partners Group, which has a track record of nearly 1 billion invested capital in its various deals. Athos is a senior compliance and licencing professional with over 14 years of experience in alternative investment funds, investment fund managers and other regulated entities. Prior to his current role, he held senior compliance leadership and Board positions in several regulated entities in Cyprus. Earlier in his career, he served for almost a decade as Manager, Fund Services at BDO Ltd, part of the BDO International network. He is a member of the Cyprus Bar Association and a long-time member of the Cyprus Investment Fund Association where he sits on the Regulatory and Legal Technical Committee. He holds an MSc in Trade and Finance from Cass Business School, City University, an LLM in International Commercial Law from the University of Westminster and an LL B from Queen Mary’s University, London.