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The Compliance Monitoring Programme

 

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.

 

 

Programme Objectives

 

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

 

 

Programme Outline

 

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

 

 

Training Style

 

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.

 

 

CPD Recognition

 

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

 


The Compliance Monitoring Programme



Contact us for Group Registrations of 4 people or more


Start
February 28, 2020 2:30 pm
End
February 28, 2020 8:00 pm
Address
25 Megaron Street, 2032 Strovolos, Nicosia, Cyprus   View map
Phone
+357-22274470
Email
info@eimf.eu
CPD Units
5
Duration
5 hrs
Fees
€180 + VAT

Schedule

Friday 28/02/2020, 14:30-20:00

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Speaker
Marek Bota

Marek Bota is a professional with many years of experience and an established career in the financial sector. He has held a variety of positions in several Cyprus Investment Firms. These positions, which include Executive Director, Compliance Officer and Head of Reception and Transition of Orders and which placed him at the forefront of clients’ needs, all gave him the tools and skills needed to gain a widespread insight into the field. During his long-standing career, he has expanded his knowledge of the Cypriot and European Legal, Regulatory and Compliance requirements on capital markets. Marek holds a BA in Management and Economics of Aero Tourism and has recently obtained a Master of Laws (LLM) from Cardiff Metropolitan University. He has also attained the CISI Financial Services Legal Framework certificate, as well as the CISI Financial Services Regulatory Framework certificate, and is an associate of the Chartered Institute of Securities and Investments.
See all courses by Marek Bota

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