Collective Investment Schemes


Collective Investment Schemes are an important category of asset classes. They are a collection of a pool of assets that offer massive advantages vs holding individual units. This Program is ideally suited for those participants who want to understand what is a Fund, how is a Fund constituted, how is a Fund run and administered and regulatory restrictions and taxation for various types of Funds. The Program provides in-depth coverage of important topics in Collective Investment Schemes such as regulatory controls, constitution, roles and responsibilities, investment and borrowing powers, investor transactions, registration and settlement, distribution of income, investor communications and taxation.


On successful completion of the program, you would be awarded the professional certification in “COLLECTIVE INVESTMENT SCHEMES” by Moody’s Analytics and EduEdgePro.


  • Understand the concept of Collective Investment Schemes and the roles and responsibilities of various stakeholders involved
  • Learn the various Fund types and how are they structured
  • Understand important Fund categories such as UK Wraps, ISAs, Money Market Funds, Hedge Funds, Private Equity Funds, UCITS Funds, Unit Trusts, OEICS, ETFs, REITS, etc
  • Understand onshore vs offshore funds and how are they structured
  • Understand Fund Constitution, Regulatory Controls and Investment and Borrowing Powers for various Fund
  • Learn how to Price a Fund
  • Learn advanced topics in Fund Administration, Taxation, Corporate Actions and Fund Distribution


This course is aimed at those who wish to explore the more advanced aspects of Mutual Funds to build a career as:
  • Mutual funds research analyst
  • Entry level analysts
  • Institutional salespersons
  • Financial consultant
  • Financial analyst
  • IFAs
  • Investment Analyst
  • Institutional Sales
  • Asset manager
  • Distributor/ broker
  • Index fund manager
  • Product analyst
  • Portfolio Managers

Fast Facts

  • Certified by : Moody’s Analytics and EduEdgePro
  • Broad Coverage:
  • Introduction to Collective Investment Schemes
  • Regulatory Framework and Controls
  • Constitution and Fund Types
  • UK Wraps, Platforms and ISAs
  • Roles and Responsibilities
  • Investment and Borrowing Powers
  • Investor Transactions
  • Registration and Settlement
  • Distribution of Income
  • Investor Communications


    This section introduces Collective Investment Schemes – overview, Fund types and mechanics of Funds.

    Overview of Collective Investment Schemes
    • Why Collective Investment Schemes were introduced and how they are used
    • Statistical Reporting made by AFMs to Industry and Government Bodies
    • The Role of the Central Bank
    • Comparative Features advantages and disadvantages in contrast to other forms of investment
    • Key differences between onshore and offshore Funds
    Fund Types and Mechanics
    • Types of Schemes
    • Mutual Funds
    • Open-ended schemes – Unit Trusts, OEICs
    • Close-ended schemes – Investment Trusts, ETFs
    • Offshore Funds
    • Money Market Funds
    • Hedge Funds
    • Private Equity and Venture Capital Funds

    This section explains how a Fund is constituted. It covers Fund Constitution, Roles and Responsibilities of various stakeholders and various Regulatory Controls for a Fund.

    Fund Constitution
    • Establishment of a Scheme
    • Scheme Structure
    • Termination/Re-organisation of Collective Investment
    Roles and Responsibility
    • The Role of the Authorised Fund Manager (AFM)
    • Depositaries, Trustees and Custodians
    • The Auditors – their rights, obligations and responsibilities
    Regulatory Controls
    • UK Regulation and Legislation
    • The Prevention of Financial Crime
    • European Union Directives
    • Rights and Protection of Unit/Shareholders

    This important section dwelves deeper into how a Fund is priced, administered and settled. It covers Investment and Borrowing powers of a Fund; Pricing and Investor Transactions; Registration, Settlement and Income Distribution; and Taxation for Collective Investment Schemes.

    Investment and Borrowing Powers
    • Investment General Principles
    • Rules Relating to Investment
    • Borrowing and Stock Lending Powers
    Pricing and Investor Transactions
    • Information available to Investors
    • Valuation/Pricing/Charges Overview
    • Single and Dual Pricing
    • Charges and Expenses of Collective Investment Schemes
    • Buying, Selling and Exchange of Shares/ Units
    • Creation/Cancellation of Units/Shares
    • Investing through Intermediaries (including Fund Platforms)
    Registration, Settlement and Income Distribution
    • Requirements for the Establishment, Maintenance and Contents of a Register
    • Transfer of Title
    • Sub-Registers for Savings Plans and ISAs
    • Settlement of Funds
    • Income and Distributions
    • Income Equalisation and Tax Vouchers
    • Annual and Half Yearly Reports and Accounts
    • Corporate Tax and Income Tax on the Fund and other taxes
    • Tax Implications for Investors
    • HM Revenue & Customs Information Reporting
    • Taxation for Offshore Fundsq
    • Taxation for UK Wraps
    • Taxation treatment for various Collective Investment Schemes
    • Income, Dividend and Capital Gains Tax Implications for onshore vs offshore funds

    This section covers advanced topics in Collective Investment Schemes such as Investor Communication; UK Wraps and Platforms; ISA – Rules, Restrictions and Considerations; and important Regulations for Collective Investment Schemes

    Investor Communications
    • Financial Statements
    • Portfolio Statement
    • Statement of Total Return
    • Contract Note
    • Stock Transaction and Renunciation
    • Tax Vouchers
    • Income Payments
    UK Wraps and Platforms
    • Introduction to a Wrap Account
    • Why Invest in a Wrap Account
    • Types of Wrap Accounts – ISAs, SIPPs, Investment Bonds
    • Wrap Account Providers
    • Operational Wrap Business Flow
    • How does Wrap Account work
    • Transferring Wrap Account
    • Wrap Platforms
    ISA – Introduction, Rules, Restrictions and Considerations
    • What is an ISA
    • Tax Advantages
    • Types of ISAs – JISAs, LISAs, Flexi-ISA, etc
    • ISA Legislation and Authorization
    • Subscription Options and Methods
    • ISAs Inclusion Criteria
    • Investors and Applications
    • Account Income and Tax Claims
    • Withdrawals, Closure and Death of Investor
    • ISA Transfers
    Important Regulations for Collective Investment Schemes
    • Retail Distribution Review (RDR)
    • UCITS Funds and Directives
    • FATCA – Scope, Reporting, Due Diligence, IGAs
    • Capital Markets and Investments – CSDR, MiFiD, MAD, Solvency


    Let us bring our classes to you! Our in-house training are ideal for groups of 10 or more people. We can provide Off-the-shelf training in the form of our classic courses, or we can provide bespoke training, tailored to your organisational goals and objectives. Please contact us for further details.

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