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Case Study 2
Spring-Summer 2009

Category: Derivatives

The client:

Major blue-chip investment firm with over £160bn funds under management

Their problem:

The firm had converted the retail fund range to UCITS III and wanted to ensure all their front-office and support teams were fully trained in the Investment & Borrowing powers under FSA COLL Chapter 5.

The use of derivatives was likely to increase significantly and the Compliance Manager was keen to enhance knowledge within their firm of Financial Derivative Instruments (FDIs) in order to help identify red flags.

In addition the firm was implementing a change of operational process involving the change-over of Third Party Administrator (TPA) for their investment funds. The secondary goal of the training was to highlight the different trade flow processes and following the changeover with particular emphasis on key responsibilities for fund pricing and TCF.

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