Compliance and the Management of Compliance Risk Treningskurs

Last updated

Kurskode

mancomprisk

Varighet

21 timer (vanligvis 3 dag inkludert pauser)

Oversikt

audiance

Alle ansatte som trenger arbeidskunnskap om samsvar og Management av risiko

Kursets format

En kombinasjon av:

  • Tilrettelagte diskusjoner
  • Lysbildepresentasjoner
  • Casestudier
  • eksempler

Kursmål

Ved slutten av dette kurset vil delegatene kunne:

  • Forstå de viktigste fasitene for Compliance og den nasjonale og internasjonale innsatsen som gjøres for å håndtere risikoen knyttet til den
  • Definer måter som et selskap og dets ansatte kan sette opp en Compliance Risk Management Work
  • Detaljer om rollene som Compliance Officer og Money Laundering Reporting Officer og hvordan de skal integreres i en virksomhet
  • Forstå noen andre "hot spots" innen Financial Crime - spesielt når det gjelder internasjonale Business , offshore-sentre og kunder med høyt nettverdi

Machine Translated

Kursplan

The basics of Compliance and the Management of Compliance Risk

  • Understanding Compliance and the Risk associated with it
    • What are important areas in 2021?
    • Who are the Compliance Officers’ and Money Laundering Reporting Officers’ Stakeholders?
    • Understanding and mitigating the risks of non-compliance

Creating and Managing a Compliance Risk Management Framework

  • Understanding a Risk-Management Approach
  • The impact on the business – positively and negatively – of creating a Risk-Management Approach

Compliance and Corporate Governance

  • 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

Compliance Controls and Checks

  • What do the Regulators expect?
  • Creating a Compliance Monitoring Programme

Other Financial Crime considerations

  • Money Laundering and Terrorist Financing – a fresh look
  • Fraud
  • Data Protection and Information Security
    • Personal and Sensitive Information
    • Data Protection Policies
  • Bribery and Corruption
    • UK Bribery Act 2010
    • USA Foreign & Corrupt Practices Act
    • Other areas for consideration
  • Impact of Brexit
  • Market Abuse and Insider Dealing
  • Sanctions

Financial Crime in International Business, in Offshore Centres and with High-Net-Worth Clients

  • Why do financial criminals target International Business, Offshore Centres and High-Net-
  • Worth clients?
  • What are the major risks in undertaking this business?

The Future

  • Where are today’s Compliance and its Risk Management hotspots…?

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