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Fund Operational Due Diligence Risk Assessment, Reporting and Exams – Masters Level – London (September 5-6, 2018)

In Person
2 Days

September 5-6, 2018 – London

This program provides students with the tools needed to continue to monitor investment managers, understand the role of technology in both investment management and operations as well as how to make sure information gathered prior is still relevant, pertinent and truthful.


This class is a component of both the

Hedge Fund Operational Due Diligence Master’s Level Certificate


Private Equity Fund Operational Due Diligence Masters Level Certificate Course


Each day will begin at 8:30 am with registration and coffee, tea and a light breakfast will be supplied. This is a great time to meet the instructor and your fellow attendees. The program will start promptly at 9 am, though we may conclude earlier, please plan to stay until 5 pm each day. Lunch will be provided and dress is smart casual.

Remember this is an intimate class to ensure you get direct attention and the best result, so bring your questions and be ready to share your experiences.

Prerequisite knowledge:

  • A deep and thorough background in the financial markets and securities
  • A complete understanding of financial products including; hedge funds, private equity and separate account platforms
  • Strong knowledge and experience working with financial statements
  • Knowledge and understanding of investment strategies


Creating a Superior ODD Ongoing process (Day 1)

Module 1 – Preparing and Conducting an Onsite ODD Meeting – a quick review

This module is a fast paced review of the IMDDA’s Master Class [1]and Class [2] Preparing for and Conducting the Onsite ODD Meeting. The module will be comprehensive in nature and a brief refresher course.


Module 2A – The CTO: A deep understanding of IT/BCP

  • Internal Data Centers vs Remote Data Centers
  • Cloud Based and Hosted solutions
  • BCP – Can the manager actually manage the portfolio in an emergency?
  • Cybersecurity, testing, and planning for being hacked.
  • Case Studies


Module 2B – The CTO: A deep understanding of IT/BCP

  • Cybersecurity, testing, and planning for being hacked.
  • Cybersecurity experts weigh in on industry risks


Module 3 – An overview of common HF systems

Industry experts discuss and explain the strengths and weaknesses of the most widely systems in the marketplace. Know if the service provider your manager is using is the best match for the strategy your manager is employing.

  • Pros and Cons of specific vendors
  • Proper workarounds for deficiencies
  • OMS and PMS systems
  • Middle office and matching systems
  • Back office and accounting systems

Creating a Superior ODD Ongoing process (Day 2)

Recap Day One Q&A session


Module 4 – Ongoing ODD Monitoring Challenges

  • Creating a database to track changes and trends
  • How do you respond to a fund manager having a regulatory examination
  • What if your manager is fined by a regulator
  • Ongoing monitoring of a fund’s Audited Financial Statements
  • Tracking Administrator’s Transparency Reports


Module 5 – Ongoing ODD Monitoring Challenges

This module is a fast paced review of the three IMDDA’s Master Classes. This module will be comprehensive in nature and a brief refresher course.


Module 6 – Exam 1


Module 7 – Exam 2

Desk-Ready Skills

  • Development of sound operational due diligence policies and procedures
  • The ability to evaluate all aspects of an investment manager’s operations and infrastructure
  • Understanding fund structures and domiciles
  • Reading and understanding fund documents and financial statements
  • How to evaluate compliance procedures at an investment manager
  • Implementing a blueprint for operational due diligence policies and procedures.
  • Ongoing monitoring of fund managers
  • Understand portfolio manager valuation practices

Recommended for:

  • Institutional Investors
  • Pension/Retirement Funds
  • Mutual Funds
  • Foundations & Endowments
  • Family Offices
  • Pension plan consultants

As well as:

  • Managers: Hedge funds, Fund of Funds, all alternative investment managers
  • Due diligence consultants, valuation consultants, background checking firms, prime brokers
  • Advisors, sub-advisors



September 5
September 6
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