Investment Restriction Monitoring

The regulations and prospectus set out investment and borrowing limit restrictions with which the fund must comply. The Manager need ensure that the funds remain in compliance with these limits. This is generally done through a combination of pre- and post-trade and automated and manual monitoring.

Interview Tips

The introduction of UCITS III introduced more flexible investment restriction rules for UCITS funds, such as the ability to invest in money market instruments, CIS and derivatives. However, this poses a number of challenges, including: