Regulatory Compliance for Quantitative Funds

Navigate complex regulatory requirements for quantitative investment management through this comprehensive course designed for compliance officers, fund managers, and quantitative professionals. This program provides practical expertise in regulatory compliance, risk management, and operational excellence for systematic investment strategies.

Regulatory Framework

• Investment Adviser Regulations: SEC, CFTC, and international regulatory requirements for quantitative investment advisers
• Risk Management Rules: Liquidity risk management, derivatives usage, and concentration limits for regulated investment funds
• Reporting and Disclosure: Form ADV, Form PF, and ongoing reporting obligations for quantitative investment strategies
• Market Making Regulations: Volcker Rule, market making exemptions, and proprietary trading compliance for systematic strategies
• Cross-Border Compliance: International regulatory coordination, AIFMD, MiFID II, and global regulatory harmonization

Operational Compliance

Implement comprehensive compliance programs including policies and procedures, compliance testing, and regulatory examination preparation that ensure ongoing regulatory compliance while maintaining operational efficiency.

Technology and Surveillance

Deploy compliance technology including trade surveillance, communication monitoring, and automated compliance testing that detect potential violations and ensure systematic compliance with complex regulatory requirements.

Risk Management Integration

Integrate regulatory compliance with risk management including stress testing, scenario analysis, and regulatory capital requirements that align regulatory obligations with prudent risk management practices.

Regulatory Excellence

Essential for compliance officers, fund managers, operations professionals, and legal counsel working with quantitative investment strategies. This course provides the regulatory knowledge and practical frameworks necessary to maintain compliance while operating sophisticated investment strategies in complex regulatory environments.