EU Fund Regulation and Compliance

This summer course will provide a comprehensive introduction to the EU regulation and supervision of investment funds, asset managers and other financial institutions involved in the activities of investment funds in the European Union. Participants will learn about the main challenges faced and the approaches adopted by EU regulators and supervisors, both from the perspective of the regulators and supervisors themselves and from the perspective of the funds, asset managers and their legal counsel. Scope and landscape of EU fund regulation regime EU financial supervisory architecture: ESAs review Investment fund entities: UCITS, AIFMD, EuVECA, EuSEF, ELTIF, MMF Regulation Investment fund prudential requirements: Investment Firms Regulation (IFR) and Investment Firms Directive (IFD) Cross-border distribution of funds: CBDD and CBDR Financial markets regulation: MiFID II, MiFIR, PSD2 Green finance: disclosure requirements for sustainable investments Retail investor protection: PRIIPs Regulation Customer due diligence, AML/CFT issues Crisis management and insolvency issues

Course leader

Jens Hillebrand Pohl

Target group

The course is aimed at legal practitioners seeking an introduction to the regulation and supervision of financial markets in the EU, including national regulators/supervisors, in-house lawyers at investment firms, fund managers, depositaries and other related financial institutions, and lawyers in private practice.