Alternative Investment

PELP Unit 11: Governance & Compliance

Overview

This Unit 11 of The Private Equity Learning Pathway (PELP) is part of a 12-unit series designed to provide a comprehensive understanding of how a Private Equity fund operates. In this unit, Derek McGibney, founder and Managing Director of Cognitive GRC, covers the topic of governance and compliance detailing the development of regulation, compliance, conflicts of interest, ESG and fund boards.

Check out the other units in the Learning Pathway:

Objective

On completion of the eCourse, you will be able to:
- Describe the basic principles of governance and compliance in private equity funds, including key regulatory requirements
- Outline the development of regulations affecting private equity and their implications for fund operations
- Recognise common conflicts of interest in private equity and explain their potential impact
- Explain the role of ESG governance in private equity and its significance in modern investment strategies
- Identify the main functions and responsibilities of fund boards in private equity governance

Content

The module covers the following titles:
• Introduction
• The Development of Regulation in Private Equity
• Compliance in Private Equity
• Conflicts of Interest
• Governance of ESG
• Fund Boards
• Concluding Remarks
• Final Quiz

Who should attend

This course is for private equity professionals, career starters, those transitioning to private banking, and service providers like bankers, accountants, IT professionals, lawyers, and trust administrators.

Details

Code
TEPAI24005501
Venue
ePlatform
Relevant Subject
Type 1 - Dealing in securities
Type 4 - Advising on securities
Type 9 - Asset management
Ethics/Compliance
Language
English
Level
Introductory
Hours
SFC:2.50, PWMA:2.50
Fees
All Member: HK$540
Staff of Corporate Member: HK$540
Non-Member: HK$1080
Chinese Securities Association of Hong Kong (HKCSA): HK$760