Questions ouvertes Flashcards
What is a UCITS ?
An undertaking for collective investment in transferable securities
What is an AIF?
Alternative investment fund
Which of the following activities can bedelegated by a lux management company?
1. Risk management
2. Fund administration
3. Portofolio management
4. Distribution
- Risk management
- Fund administration
- Portofolio management
- Distribution
All answers
Within a management company,the internal audit is considered to be:
Third level of control
il y a 3 niveau de contrôle (Opérationnel,risk management et compliance,internalaudit(
Currently, under which directive are UCITS regulated?
Ucits V
What is the objective of the KYC?
Identify the investor
Which investment fund industry player calculated the NAV
fund accounting
What is the role of the risk management department with regards to TA processes?
Review TA processes to identify deficiencies within controls
Which team is in charge of maintaining client static data updated within the TA system?
Fund Set-Up
Which investment fund industry player calculates the NAV?
The fund accounting
Which of those departments includes the team in charge of processing the dividends?
Fund Events
Quel acteur est en charge de maintenir le registre des actionnaires du fond ?
Le transfer agent
Role of board of directors:
strategic decisions+supervises managementofManCo
ManCo: how many conducting officers
> 2
Regulator:
CSSF
