AIF Compliance Officers Bootcamp Cohort I (ACO)

Program Format: BKC, Mumbai

Program Fee: (Early-Bird till October 10)
Equalifi Individual Members: INR 5,900
Equalifi Corporate Members: INR 5,900
Non- Members: INR 8,260

The program fee includes

- In-person participation in the one day bootcamp
- Instructor notes
- AIF Compliance Best Practices Handbook
- Networking Lunch
- Session Recordings


Enquire Here

Equalifi’s AIF Compliance Officers Bootcamp- Cohort I is a prolific in-person learning and networking program for compliance professionals working in the Alternative Investment Fund (AIF) industry.

The Indian Capital Markets Regulator SEBI is one of the most proactive Regulators in the world with investor interest at it’s heart, effective regulations on it’s mind and a sharp eye for compliance.

Equalifi’s AIF Compliance Officers Bootcamp- Cohort I is a prolific in-person learning and networking program for compliance professionals working in the Alternative Investment Fund (AIF) industry.

The Indian Capital Markets Regulator SEBI is one of the most proactive Regulators in the world with investor interest at it’s heart, effective regulations on it’s mind and a sharp eye for compliance.

This makes the roles of a compliance professional very pivotal in an asset management company. When an AIF gets the compliance right, it can achieve a more agile and proactive posture and drive organizational value. This creates a foundation of stakeholder trust that makes it possible to realize responsible growth, bold innovation and sustainable performance.

Getting compliance right is not just a business requirement but also a big competitive advantage.

This bootcamp is designed to help AIF compliance professionals be prepared to work effectively amidst evolving regulation and industry developments impacting investment compliance.

Join this bootcamp to upskill yourself on the best practices and the right technology in tackling these requirements head-on.

SessionDateDayTimeTopicFaculty
1November 2Thursday9 am – 10 amRegistration
2November 2Thrusday10 am – 11 amIntroduction and Role of Governance and compliance officer under AIF Regulations

  • History and requirements of governance mechanism and compliance officer
  • Major governance issues globally and fines
  • Role and responsibilities of compliance Officer
  • Pre-requisites for compliance officer
  • Key areas of oversight
3November 2Thursday11 am – 11.30 am
Tea Break
4November 2Thursday11.30 am – 1 pmGovernance Structure

  • Framework of governance
  • Lines of controls
  • Framing of policies
  • Trainings

 

5November 2Thursday
1 pm – 2 pm
Lunch Break
6November 2Thursday2 pm – 3.30 pmPolicies and Processes (key regulatory framework)

Subtopics:

  • Conflict of Interest
  • KYC/AML
  • Insider Trading
  • ICDR/takeover regulations
  • Data Protection
  • Intermediaries /  unfair trade practices / market surveillance
 
7November 2Thursday
3.30 pm – 4 pm
Tea Break
8November 2Thursday4 pm – 5.30 pmReportings Subtopics:

  • Regulatory reportings
  • Customer reportings
  • Checks and controls on reportings
9November 2Thursday
5.30 pm – 7 pm
Networking & End of Program

To be announced

Enquire Here

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