Kleinbart - Learning and Development Solutions

Try a KLDS E-learning course

Regulation of Investment Funds


The investment fund market has become one of the most important financial markets in the world. One reason for the growing popularity of European investment funds is their strict regulation and supervision. This course analyses various aspects of the European regulatory environment for investment funds and evaluates the impact of these regulations on the operation of a fund. The focus of the course is thus more on the operational impact of regulations than on legal issues.

Course Content

  • Investment funds as legal entities
  • Legal structures of investment funds
  • The UCITS Directive, I-IV
  • Operational implications of the UCITS Directive
  • The national regulatory environment
  • Creating and launching a fund
  • Investor protection
  • Financial Action Task Force (FATF) and the investment fund market
  • Prevention of money laundering and terrorist financing
  • Risk management for investment funds
  • Regulatory environment for alternative investment funds
  • Trends impacting the future regulatory environment


1 day for up to 12 participants

Target Audience

Anyone working in the investment fund industry, particularly people working in audit, sales, transfer agency or domiciliary functions.