Session Overview

This practical session provides an in-depth exploration of the UCITS Investment and Borrowing limits, with a particular focus on derivatives. Through case studies and numerous examples, participants will gain a strong familiarity with the UCITS investment limits and their application.

Topics Covered

  • Introduction to types of rules relevant to funds
  • UCITS eligible assets
  • UCITS investment in transferable securities
  • Index tracking UCITS funds
  • UCITS investment in cash, deposits, and ancillary liquid assets
  • UCITS borrowing rules and jurisdictional differences in using borrowing for investment purposes
  • UCITS investment in collective investment schemes, including non-UCITS
  • UCITS concentration and significant influence rules
  • Derivatives (5/10/40 rule look-through, global exposure and VaR limits, counterparty exposure, cover requirements)
  • Active and passive breaches (case study on reviewing breaches, determining compensation)
  • Role of the Trustee/Depositary
  • Jurisdictional comparisons (Dublin, Luxembourg, UK) regarding interpretation of rules, operational processes, timeframes for resolving breaches and compensating, reporting to regulators

Session Details

  • Date: 11th September 2024
  • Location: Novotel London Tower Bridge
  • Price: £750 per day (Client rate: £200)
  • Maximum Attendance: 16 people per session

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    Who Should Attend

    This session is designed for professionals seeking a comprehensive understanding of UCITS investment limits, borrowing rules, and the application of derivatives within the UCITS framework. It is particularly relevant for fund managers, compliance officers, risk managers, and other professionals involved in UCITS fund management and oversight.

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