European Institute of Management and Finance | Certificate in Governance, Financial Regulation and Compliance
52136
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Certificate in Governance, Financial Regulation and Compliance

Certificate in Governance, Financial Regulation and Compliance

 

Corporate governance has proven to be a critical factor for any organisation, and even more so for financial institutions, affecting their sustainability, growth and overall future.

 

Financial regulation is a form of regulation or supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the integrity of the financial system.

 

Supervising banks, investment firms and insurance companies as well as directly correlated professionals like lawyers and accountants as well as auditors has never been tougher. All those professions and markets must be co-ordinated by regulators to avoid market distortions and potential “chain reaction” deriving from a failure to handle them and treat them fairly and with professionalism.

 

In addition, the Compliance function is crucial for organisations and especially so for Financial Services where the role forms part of the critical factors of the firm.

 

Being a compliant firm in the Financial Services sector is not the easiest of things to achieve, therefore, it is vital that a well-documented plan of action and a disciplined implementation guide are prepared and followed.

 

 

Training Objectives

 

This Certificate course will examine specific areas through four modules:

 

  • Corporate Governance for Financial Institutions
  • The Role of Compliance in Financial Services
  • Dealing with Financial Sector Regulators
  • Key Compliance Risks in Financial Services

 

Participants of the Certificate programme will:

 

  • Understand the core concepts of corporate governance
  • Examine the responsibilities and obligations for compliance, compliance risk assessment processes and managing cross-border compliance
  • Appreciate the major implications deriving from a complicated supervisory system initiating from the international decisions and ending with the local implementation by firms and professionals
  • Examine the combined implementation of major regulatory requirements currently in place both locally and on a European Level

 

 

Training Outline

 

Corporate Governance for Financial Institutions

  • The roles and responsibilities
  • How to appoint a Board of Directors
  • The importance of Risk and Compliance oversight
  • Conflicts of interest
  • The role of values and culture within an organisation

 

The Role of Compliance in Financial Services

  • What is compliance?
  • Who is responsible for compliance?
  • The Compliance function
  • Compliance risk assessment
  • Relationship with regulators and auditors
  • Cross-border Compliance
  • Outsourcing

 

Dealing with Financial Sector Regulators

  • Major International, European and Cypriot regulators and their roles
  • Product governance implications
  • Client and Investor protection
  • Global AML and CTF efforts

 

Key Compliance Risks in Financial Services

  • Money Laundering and how it can be prevented
  • MiFID II and its impact
  • The Market and how it can be abused

 

 

Training Style

 

The Certificate is designed to deliver knowledge and enhance participants’ skills via short lectures, interactive case-studies and live practical examples. The use of real-life material will help participants to think critically about scenarios that will be relevant to their respective roles and organisations.

 

 

Who should attend 

 

The Certificate in Governance, Financial Regulation and Compliance is ideal for:

  • Executive Directors
  • Non-Executive Directors
  • Heads of Risk and Compliance
  • Compliance professionals and advisers
  • MLRO
  • Heads of control functions
  • Senior managers
  • Company secretaries
  • Internal Legal Counsel