Compliance and the Management of Compliance Risk Training Course
Course
In City Of London
Description
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Type
Course
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Location
City of london
Audiance
All staff who need a working knowledge of Compliance and the Management of Risk
Format of the course
A combination of:
Facilitated Discussions
Slide Presentations
Case Studies
Examples
Course Objectives
By the end of this course, delegates will be able to:
Understand the major facets of Compliance and the national and international efforts being made to manage the risk related to it
Define the ways in which a company and its staff might set up a Compliance Risk Management Framework
Detail the roles of Compliance Officer and Money Laundering Reporting Officer and how they should be integrated into a business
Understand some of the other “hot spots” in Financial Crime – especially as they relate to International Business, Offshore Centres and High-Net-Worth Clients
Facilities
Location
Start date
Start date
Reviews
Subjects
- Financial Crime
- Compliance Management
- Financial Training
- IT risk
- International Business
- Financial
- International
- Governance
- Risk Management
- Staff
- Compliance
- Risk
- Corporate Governance
Course programme
The basics of Compliance and the Management of Compliance Risk
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Understanding Compliance and the Risk associated with it
- What are important areas in 2012?
- Who are the Compliance Officers’ and Money Laundering Reporting Officers’ Stakeholders?
- Understanding and mitigating the risks of non-compliance
- Understanding a Risk-Management Approach
- The impact on the business – positively and negatively – of creating a Risk-Management Approach
- What is Corporate Governance?
- How does it interact with Compliance?
- Who are the Stakeholders?
- Corporate Governance principles
- Management Committees
- Codes and Guidelines
- Corporate Governance and Financial Crime Prevention
- What do the Regulators expect?
- Creating a Compliance Monitoring Programme
- Money Laundering and Terrorist Financing – a fresh look
- Fraud
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Data Protection and Information Security
- Personal and Sensitive Information
- Data Protection Policies
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Bribery and Corruption
- UK Bribery Act 2010
- USA Foreign & Corrupt Practices Act
- Other areas for consideration
- Market Abuse and Insider Dealing
- Sanctions
- Why do financial criminals target International Business, Offshore Centres and High-Net-
- Worth clients?
- What are the major risks in undertaking this business?
- Where are today’s Compliance and its Risk Management hotspots…?
Compliance and the Management of Compliance Risk Training Course