Pensions and Retirement Training Course on Pension Licensing and Registration

Module 1: Overview of Pension Licensing and Regulatory Framework
Understanding the pension industry landscape
Licensing and registration as tools of regulatory oversight
Key legislation, regulations, and guidelines governing licensing
Roles of regulatory authorities in authorization and supervision
Categories of pension entities requiring licensing (funds, administrators, custodians, trustees)
International standards and benchmarks (OECD, IOPS, World Bank)

Module 2: Licensing Requirements and Eligibility Criteria
Application requirements for pension schemes and service providers
Documentation, disclosures, and fit-and-proper criteria
Licensing conditions for trustees, fund managers, and custodians
Capital adequacy and financial soundness requirements
Corporate governance and operational readiness assessments
Evaluation of business plans and internal control structures
Common licensing challenges and regulatory responses

Module 3: Registration Processes and Regulatory Procedures
Step-by-step process of pension fund registration
Pre-licensing due diligence and background checks
Verification of compliance with laws, regulations, and standards
Role of public disclosure and transparency in registration
Coordination among multiple regulators (insurance, capital markets, tax authorities)
Renewal, suspension, and revocation of licenses
Maintaining accurate and up-to-date registers of pension entities

Module 4: Post-Licensing Supervision, Compliance, and Reporting
Regulatory monitoring and ongoing compliance requirements
Annual reporting, audit, and actuarial certification obligations
Risk-based supervision post-licensing
Compliance inspections and enforcement actions
Penalties and sanctions for non-compliance or breach of license conditions
Maintaining governance and operational standards after registration
Continuous professional development and ethical expectations for licensed entities

Module 5: Case Studies, Practical Workshop, and Emerging Issues
Case studies: Successful licensing and regulatory enforcement scenarios
Simulation: Preparing a mock pension license application
Group exercise: Evaluating a sample registration dossier
Discussion: Challenges and innovations in pension licensing (digital platforms, cross-border operations)
Future trends in pension regulation and supervisory reforms
Course wrap-up, evaluation, and certification ceremony