The seminar focuses on the proper preparation of the compliance monitoring programme as per regulatory requirements.
The seminar will provide practical assistance on how to detect and record any risk of failure and evaluation and for ensuring that the company’s operations are in accordance with its obligations under relevant legislations.
By the end of the programme, participants will be able to:
- Apply regulatory requirements, with regards to the compliance function, in practice
- Perform proper risk assessment and risk-based approach
- Detect and assess the level of compliance risks the Company faces
- Establish priorities determined by the compliance risk assessment
Responsibilities of the compliance function
- Monitoring obligations
- Reporting obligations
Compliance risk assessment
- Risk identification and ratings
Structure of the Compliance risk assessment
Outcome of the monitoring program
Compliance Function Report
The course clarifies the regulatory requirements regarding the establishment and maintenance of the compliance risk assessment and monitoring programme as well as duties and responsibilities of the compliance function.
This programme may be approved for up to 5 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
Professionals requiring CPD units to meet the education requirements for CySEC licence renewal, and/or for maintaining other professional memberships/certifications which accept CPD in Financial Regulation, are advised to consider training subjects in categories that indicate CPD training in Financial Regulation.
Who Should Attend
- Compliance officers
- Internal Audit
- Risk Managers