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1 Day Regulations & Operational Compliance for Funds Training Course: Transfer Agency, Fund Accounting, Pricing Risk, Governance & COLL Compliance Essentials (ONLINE EVENT: March 17th, 2026)

Research and Markets

Fri, February 13, 2026 at 6:06 PM GMT+9 5 min read

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Opportunities lie in enhancing fund management compliance and efficiency through specialized training. The course targets fund managers navigating complex regulations, emphasizing key functions, risk management, and up-to-date regulatory knowledge, supporting smarter oversight and governance practices.

Dublin, Feb. 13, 2026 (GLOBE NEWSWIRE) – The “Regulations & Operational Compliance for Funds (Mar 17th, 2026)” training has been added to ** ResearchAndMarkets.com’s** offering.

The course is conducted by a very senior expert with over 25 years of experience. The sessions are very practical and interactive and will include discussions, Q&As and exercises. You will receive a set of course materials and a course certificate on completion.

Fund Managers together with their service providers need to ensure that their funds are operated in a compliant manner. However, this is a greater challenge today than ever due to the increasing demands of regulation and the greater complexity of funds. Demands for increased efficiency and robust risk management processes only add to the complexity.

This very practical one day workshop is conducted by very senior fund management expert with over 30 years of experience. You will learn about the key fund administration functions and processes including: transfer agency and fund accounting, concentrating on high risk areas where mistakes frequently occur, such as fund pricing and will examine case studies. You will also learn about fund documentation, governance and accounting, risk management and the main parties involved.

The course will also equip you with the most up-to-date knowledge about the latest regulation requirements which apply to the operations of authorised funds. You will have a chance to explore the impact of current regulations, the latest developments in UCITS Funds as well as the key regulations in the COLL sourcebook.

Finally, you will work through the techniques and examples of “intelligent oversight” which can greatly simplify the identification and resolution of administration. Examples are provided of due diligence questionnaires and oversight reports.

Key Topics Covered:

**A One Day Course **

Introduction

Key Fund terminology

Impact of Brexit

The Key Regulations

The FCA handbooks

COLL

COLL extracts - prospectus, dealing, fund accounting

MIFID II

The impact on fund managers

Retrocessions

Dealing commission

Product suitability

The main parties

Transfer Agent

Fund accountant

Custodian

Depositary

Investment manager

Auditor

Legal adviser

Fund governance

Oversight by the Board

TCF

Risks

Oversight of third parties

The importance of challenge

Fund governance and UCITS V

 






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Fund documentation

The prospectus

KIID

Investor documentation

Report & accounts

TER & OCF

Fund administration - the Transfer Agent

Dealing

Settlement

The register

Box management

Fund administration - the Fund Accountant

NAV calculation

Income & expenses

Distributions

Share Classes

Distribution of income

Monitoring for share class divergence

Developing effective controls for fund accounting

Controls over valuation of individual securities

Income and expense accruals

Daily fund level checks

Periodic checks

Investment & Borrowing Powers

UCITS vs. NURS

Eligible assets

Investment restrictions

Advertent and inadvertent errors

Monitoring function

Offshore funds

UK vs Ireland & Luxembourg

Issues when overseeing offshore fund ranges and third parties

Reporting fund status

Taxation in the UK

Third party agreements

Service Level Agreements

Identification of key SLAs

Key Risk Indicators

Key Performance Indicators

Risk management

What are the key risks?

The Integrated Risk Assessment

Portfolio risk management

Risk mitigation

Oversight of Third Parties

Key Issues

Three lines of defence

Fund oversight teams

Visits to the administrator

Risk based reviews

Speaker

Vivien is a management consultant with over 25 years experience of transfer agency, fund administration and wealth management. She received her formal education in South Africa and immigrated to the UK in 1999 where she collectively held various senior roles in investment/fund administration firms, until she undertook her own consultancy practice 10 years ago.

Prior to setting up her own specialist fund administration consultancy, Vivien spent many years as a project manager for system selections and integrations, platform migrations, fund launches and wind-ups and custody migrations. She joined Smith & Williamson Fund Administration in 2000 where she vastly improved process and automation to manually intensive OEIC/Unit Trust operations over a period of 7 years.

Vivien held the role of Head of Operations in multiple firms both in South Africa, notably RMB Asset Management, and then in the UK at Smith & Williamson, and was instrumental in expanding the SA enterprise vastly over a period of 12 years, including a full firm rebranding.

For the last 10 years Vivien has worked as a business and management consultant with many of the leading managers to implement fund administration services in the UK. She has worked with well known clients across the asset management industry on a range of diverse projects listed above, and also including regulation implementation in the form of EMIR, AIFMD, Form PF, FATCA/CRS, SFTR, MIFID I and II and UCITS I-V.

She is a Chartered Fellow of the Chartered Institute for Securities and Investments and holds status of MSCI. Attaining full Member status indicates a high level of knowledge in financial services as well as a commitment to the principles of professionalism, integrity and excellence. It is both a sign of achieving a higher level financial qualification, and of a desire for professional development.

For more information about this training visit

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