Last updated
Kurskode
compmlro
Varighet
7 timer (vanligvis 1 dag inkuldert pauser)
Oversikt
Compliance- og MLRO Refresher-programmet undersøker de viktigste problemstillingene for risikostyring og temaer som er av vital betydning i dagens sterkt regulerte miljø. I tillegg til å være målrettet mot Compliance Officers, MLROs, MLCOs og andre fagfolk innen risikostyring, er det også rettet mot medlemmer av toppledelsen og styremedlemmer som er opptatt av å vite mer om hva de kan forvente av risikokontrollfunksjonene i organisasjonene. Programmet foreleses av emne-ekspert fra Storbritannia.
Det viktigste læringsmålet med programmet er å utstyre deltakerne med tilstrekkelig kunnskap til å objektivt vurdere hensiktsmessigheten av organisasjonens eksisterende risikostyringskontroller og -praksis og å gjøre passende forbedringer.
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Kursplan
Identifying and Evaluating Key Risks
- Analysing the role of the Compliance Officer, the MLRO, the MLCO, Internal Audit and the Board
- What makes an effective Compliance Officer?
- Accountability of the Compliance Officer
- Interdependencies with other control functions
- Primary, secondary and on-demand compliance
- The Compliance Officer’s Activities – and the support required
Designing and Implementing an Effective Compliance Framework including a Monitoring Programme
- Analysing legal and regulatory rules
- Identifying risks
- Designing control and procedures
- Generating management information
- Creating an effective compliance culture
- Monitoring
Compliance and Corporate Governance
- Concepts in Corporate Governance and how these help manage risk
- Whistle blowing
- Role of the director
- Creating an effective board
- Differentiating the roles of the executive and non executive director
- Creating and effectively utilising Corporate Governance committees e.g. Audit, Remuneration
- Financial reporting and Corporate Governance
- The Turnbull Report and effective risk management
The Latest Local and International Regulatory Issues Surrounding Compliance and Financial Crime Prevention
- Issues in Compliance
- Issues in Anti-Money Laundering (AML) and Combating Terrorist Financing (CTF)
- Issues in Fraud
- Issues in Identity Theft
- Issues in Phishing
Managing the Risk of Money Laundering
- Offshore Issues, PEPs and EPs
- Know Your Client (KYC) and Identification & Verification (ID&V)
- A Risk-Management Approach
- Case studies
Other Regulatory Risks
- Information Security and Data Protection
- Market Abuse and Insider Dealing
- Bribery and Corruption
- Sanctions
- …and other types and Risks in on-shore and off-shore Banking
Human Factors in Risk Management
- Understanding the importance of human error in procedures-driven environments
- Common human factor problems
- Steep authority gradients
- Reliance vacuums
- Dominant individuals
- Identifying and addressing human factor issues
- Developing an effective compliance culture
Criminal Abuse of Private Banking Services, Trusts and Corporate Services companies
- Offshore companies and corporate services analysed
- Offshore trusts and trustee services analysed
- The criticality of fiduciary duty
- Understanding commercial rationale
- AML trust and company vulnerabilities
- Examples of abuse
- Case studies