CPDs: 5
COURSE OUTLINE
- Intro
- Compliance Function
- Important Regulation authorities
- Basics of Compliance
- FATCA and Basel III regulation
- 5 key functions of compliance department
- Advantages of having the right compliance team
- Internal and External functions of compliance
- Compliance risk and factors for evaluating compliance risk
- Compliance specialists and their duties
- What does compliance cover?
- The role of the Compliance Department and the Head of Compliance – How should relations be managed by compliance function?
- Compliance Tools
- Ethics and Compliance
- Intro
- Compliance Risk Assessment
- Monitoring Obligations of the Compliance Function – Reporting Obligations of the Compliance Function – Advisory Obligations of the Compliance Function
- Session Summary
- Key Takeaway
- Intro
- Compliance Function’s Organizational Requirements
- Compliance Function’s Permanence
- Compliance Function’s Independence
- Combining the Compliance Function with other Internal Control Functions
- Session Summary
- Key Takeaway
