- Payment Terms: Enquire
- Locations: Sheikh Zayed Rd - Dubai istanbul kuala lumpur Sheikh Zayed Rd - Dubai England - United Kingdom
- Duration / Course length: 5 Days
- Starting Date: Enquire About It
- Timings: Enquire
Course details
DAY 1: The Regulatory Environment and the Role of Regulators· An Overview of the Regulatory Environment
· The Objectives of Financial Services Regulation
· International Regulation
· The Role of the Regulators
· What do the Regulators expect?
· Your Jurisdiction Environment
· The Best Practice in Regulatory Obligation
· ISO 19600: Compliance Management Systems
DAY 2: The Compliance Functions
· Compliance Structure
· The Role of the Board of Directors, Supervisors, Internal and External Auditors
· Responsibilities of the Compliance Officer
· Key Compliance Activities and Processes
· Compliance and Corporate Governance
· Corporate Governance and Financial Crime Prevention
· Compliance Training
· Conflicts of Interest
· Ongoing Compliance with Laws and Regulations
DAY 3: Risk Management and Compliance Risk
· Understanding a Risk Management Approach
· Creating a Risk Management Approach
· The Definition of Governance, Risk and Compliance
· The Need for Internal Controls
· Identify, Mitigate and Control Risks Effectively
· Approaches to Risk Assessment
· The Importance of Compliance Culture
· Managing Key Relationships – external and internal
DAY 4: Establishing an Effective Compliance Function
· Factors to be Considered in Designing a Compliance System
· Developing an Internal Compliance System
· Implementing and Communicating Internal Compliance Arrangement
· Compliance Manual
· Establishing Policies and Procedures
· Creating a Compliance Monitoring Programme
· The Need for Independence
· Record Keeping ƒ Compliance Reports
· Managing the Regulators and Change in Regulations
DAY 5: Managing the Risk of Money Laundering and Financial Crimes
· Understanding Money Laundering Offences
· MLRO and Compliance Officer
· The Risk-based Approach to Money Laundering / Terrorist Financing
· Suspicious Activity Monitoring, Detection and Reporting
· Preventing Fraud
· Bribery and Corruption
· Insider Trading
· Market Abuse
· Sanctions and their Role in the Global Economy
Updated on 16 May, 2024
Course Location
About Convertas
CONVERTAS is a reliable advisory firm, helping organizations develop their activities to align with their objectives adopting the best practices.
Our trainings and workshops cover all areas of business including Management,Soft Skills and Human Resourses Management, Marketing and Sales, Accounting and Finance, Procurement and Logistics, targeting organizations, managers and employees. Whether in-house or public, trainings are organized with the highest qualified trainers.
Our methodology relies more on the use of audio-visual impact which is more effective than the lecture style. Presentations, videos and simulations methods have proven to be very effective for people to remember.
Moreover, doing and teaching are the best vehicles for learning and remembering. This includes involving the trainee in the teaching process by interacting, through completing worksheets and inciting to explain and present what is acquired.
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