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Description

Asset Management: Interpreting Regulation and Updating Procedures and Controls

Turning a continuous flow of regulatory texts into concrete decisions for the asset management firm

  • 2 days — 14 h
  • In-person or virtual
  • Intermediate
  • Up to 6 participants

Asset management regulation never stands still. Requirements arrive in layers, implementation deadlines overlap and every department assumes another one is tracking the subject. Internal procedures often reflect the previous version of a text, and the ongoing control plan no longer covers the points that have become sensitive for the regulator.

This short-format programme brings the framework back up to date. Participants map the obligations that apply to their management company, identify the workstreams opened by recent developments, then translate each one into a written procedure and a documented control point.

Learning objectives

  • Map the regulatory obligations applicable to the management company
  • Identify the workstreams opened by recent regulatory developments
  • Translate a regulatory requirement into an enforceable internal procedure
  • Update the ongoing control plan in light of new risks
  • Prepare the evidence expected during a regulatory inspection

What makes this programme different

Each regulatory development is translated into a dated action for the management company
Regulatory watch is organised with identified sources and an internal distribution channel
Participants' control plans are tested against the regulator's areas of scrutiny

Programme

1Overview of the Applicable Framework

Knowing where you stand

  • Status and licensing of asset management companies
  • Organisational and resource requirements
  • Conduct of business rules and the primacy of the investor's interest
  • Interaction between international standards and local implementation

2Current Developments and Internal Workstreams

From text to action plan

  • Regulatory watch method and sources to monitor
  • Impact analysis of a new text on existing processes
  • Cross-functional workstreams affecting distribution and reporting
  • Prioritising work according to risk and timeline

3Procedures and Ongoing Control

Making the framework demonstrable

  • Drafting and updating internal procedures
  • Designing first-line and second-line control points
  • Building audit trails and retaining evidence
  • Handling exceptions and remediation plans

Who is it for

Compliance and ongoing control officers, together with portfolio managers and legal counsel working within asset management companies.

Prerequisites

Working within an asset management company or having a working knowledge of its main regulatory obligations.

Dates & locations

36 scheduled dates between November 2026 and December 2027. Seats are confirmed in the order enquiries are received.

November 2026

December 2026

January 2027

February 2027

March 2027

April 2027

May 2027

June 2027

September 2027

October 2027

November 2027

December 2027

None of these dates suit you? We open additional sessions on request, and any programme can be run privately for your team.

Practical details

Before the programme
Online positioning questionnaire. Your development objectives are shared with the trainer, who tailors the practical case studies to your context.
Teaching methods
Theoretical input, workshops and practical case studies. Digital course materials and method sheets provided.
Assessment
Multiple-choice tests and role-play exercises. Assessment of learning at the start and end of the programme, with immediate and 60-day follow-up evaluations.
After the programme
One year of access to the e-learning platform. Self-assessment of the skills acquired and a 30-day follow-up session with your trainer.
How to register
Registration online or on the basis of a quotation.
Lead time
11 working days after confirmation of registration.
Accessibility
Accessible to people of determination. Contact our accessibility coordinator to design a suitable solution: contact@mpf-academy.ae
Start dates
Rolling intake: in addition to the scheduled sessions, this programme can start on request.