Asset Management at the AIFC: Authorization, Registration, and Supervision

Module 1

1.1. Regulatory Framework for Asset Management in the AIFC

• Introduction: Types and definitions of asset management according to AIFC Acts;

• Types of Asset Management Licences: Managing Investments, Managing a Collective Investment Scheme.

1.2. Overview of the AIFC Regulatory System

• Overview of the AIFC Acts governing asset management activities;

• Types of Fund Management Licences: Exempt Funds, Non-Exempt Funds, Specialist Funds;

• Overview of the Asset Management sector in the AIFC.

Module 2

2.1. Licensing

• Licensing procedure;

• Review of application forms;

• List of supporting documents;

• List of required internal policies and procedures;

• Key challenges and issues during the authorization process;

• Post-authorization procedures.

2.2. Registration

• Procedure for registration of the legal entity (Asset Management Company);

• Procedure for registration of funds in the AIFC and available legal structures.

Module 3

3.1. Supervision

• Fulfilment of post-authorization requirements and launch of operational activities;

• Types and frequency of reports submitted to the AIFC;

• On-site and off-site inspections;

• Common breaches and regulatory recommendations.

• Online training sessions
• Questions and answers​
• Presentations and recommendations from the trainer​
• Electronic training certificate