To ensure that an individual has the core understanding of GRC processes and capabilities, and the skills to integrate governance, performance management, risk management, internal control, and compliance activities.
Basel III is a global regulatory standard on bank capital adequacy, stress testing and market liquidity risk. Having initially been agreed upon by the Basel Committee on Banking Supervision in 2010–11, changes to The Accord have extended implementation to 31st March 2019. Basel III strengthens bank capital requirements by increasing bank liquidity and decreasing bank leverage.
Basel III differs from Basel I & II in that it requires different levels of reserves for different forms of deposits and other types of borrowings, so it does not supersede them so much as it does work alongside Basel I and Basel II.
This complex and constantly changing landscape can be hard to keep up with, our course and training will help you manage likely changes and their impact on your institution. We are accredited with and a training partner to the Basel Certification Institute and as such the quality and suitability of our training and material is guaranteed to be up to date and effective
Objectives:
Preparation for the Certified Basel Professional Examination.
Define hands-on strategies and techniques for the definition, measurement, analysis, improvement, and control of operational risk within a banking organization.
Target Audience:
Board members with risk responsibilities
CROs and Heads of Risk Management
Members of the Risk Management team
Compliance, legal and IT support staff
Equity and Credit Analysts
Portfolio Managers
Rating Agency Analysts
Overview:
Introduction to Basel norms and amendments to the Basel Accord (III)
Regulations for market, credit, counterparty and liquidity risk
Stress testing for various risk measures including how to formulate and deliver stress tests
The likely effects of Basel III on the international banking industry, including demonstrations of its practical application
Need For The New Basel Norms
The Basel III Norms
Objectives of The Basel III Norms
Basel III – Timeline
[category_overview] =>
[outline] =>
1. What is Basel III?
1.1. The Basel III papers
1.2. Was Basel II responsible for the market crisis?
1.3. Introduction to the Basel III Amendments
1.4. The Financial Stability Board (FSB), the G20 and the Basel III framework
2. The New Basel III Principles for risk management and corporate governance
The key areas where the Basel Committee believes the greatest focus is necessary
2.1 Board practices
2.2 Senior management
2.3 Risk management and internal controls
2.4 Compensation
2.5 Complex or opaque corporate structures
2.6 Disclosure and transparency
3. The Quality of Capital
3.1 The numerator: A strict definition of capital
3.2 Limits and Minima
3.3 Common Equity Tier 1
3.4 Common shares issued by the bank
3.5 Additional Tier 1 capital
3.6 Tier 2 capital
3.7 Investments held by banks in capital instruments of other banks and financial and insurance entities
3.8 The corresponding deduction approach and the changes in the business model
3.9 Double Gearing and Basel III
3.10 Securitisation and Resecuritisation
4. The Risk Weighted Assets
4.1 The denominator: Enhanced risk coverage
4.2 Understanding securitization
5. The Capital Ratio
5.1 In addition to the quality of capital and risk coverage
5.2 Calibration
5.3 Transition period
6. Global Liquidity Standards
6.1 Introduction of global minimum liquidity standards
6.2 The Liquidity Coverage Ratio (LCR) that makes banks more resilient to potential short-term disruptions
6.3 Stock of high-quality liquid assets
6.4 Total net cash outflows
6.5 The Net Stable Funding Ratio (NSFR) that addresses longer-term structural liquidity mismatches
6.6 Available stable funding (ASF)
6.7 Required stable funding (RSF)
6.8 Contractual maturity mismatch
6.9 Concentration of funding
6.10 Available unencumbered assets
6.11 LCR by significant currency
6.12 Market-related monitoring tools
6.13 Transitional arrangements
7. Capital Conservation
7.1 Distribution policies that are inconsistent with sound capital conservation principles
7.2 Supervisors enforce capital conservation discipline
8. Leverage Ratio
8.1 Strong Tier 1 risk based ratios with high levels of on and off balance sheet leverage
8.2 Simple, non-risk-based leverage ratio
8.3 Introducing additional safeguards against model risk and measurement error
8.4 Calculation of the leverage ratio
9. Countercyclical Capital Buffer
9.1 Procyclical or Countercyclical?
9.2 The new countercyclical capital buffer
9.3 Home / Host Challenges
9.4 Guidance for national authorities operating the countercyclical capital buffer
9.5 Principles underpinning the role of judgement
9.6 Principle 1: (Objectives)
9.7 Principle 2: (Common reference guide)
9.8 Principle 3: (Risk of misleading signals)
9.9 Principle 4: (Prompt release)
9.10 Principle 5: (Other macroprudential tools)
9.11 Jurisdictional reciprocity
9.12 Frequency of buffer decisions and communications
9.13 Treatment of surplus when buffer returns to zero
10. Systemically Important Financial Institutions (SIFIs)
10.1 SIFIs and G-SIFIs
10.2 Improvements to resolution regimes
10.3 Additional loss absorption capacity
10.4 More intensive supervisory oversight
10.5 Stronger robustness standards
10.6 Peer review
10.7 Developments at the national and regional level
10.8 The Financial Stability Oversight Council (FSOC)
10.9 The European Systemic Risk Board (ESRB)
10.10 Strengthening SIFI supervision
11. Systemically Important Markets and Infrastructures (SIMIs)
11.1 The Basel Committee and Financial Stability Board endorse central clearing and trade reporting on OTC derivatives
11.2 Derivative counterparty credit exposures to central counterparty clearing houses (CCPs)
12. Risk Modelling, Stress Testing and Scenario Analysis
12.1 Capture of systemic risk/tail events in stress testing and risk modelling
12.2 VaR shortcomings: the normality assumption
12.3 Need for a strong stress testing programme
12.4 Systemic risk capture in banks’ risk models
13. Pillar 2 Amendments: Stress testing)
13.1 Pillar 2 Amendments: Stress testing
13.2 Principles for sound stress testing practices and supervision
13.3 15 stress testing principles for banks
13.4 Firm-wide stress testing
13.5 6 stress testing principles for supervisors
14. The Impact of Basel III
14.1 The Impact of Basel III
14.2 Investment Banking, Corporate Banking, Retail Banking
14.3 Investment banks are primarily affected, particularly in trading and securitization businesses
14.4 The new capital rules have a substantial impact on profitability
14.5 Basel III Impact on Regional Banks
14.6 Basel III Impact on Pillar 2
14.7 Basel III effect on financial sector
14.8 Basel III implications for bank risk management
14.9 Implications for European Systemic Risk Board
14.10 Impact of Basel III for commercial banks?
14.11 Basel III implications for indigenous banks
14.12 Can regional banks mitigate Basel III impacts?
14.13 Other Implications of Basel III
14.14 Areas of Focus
15. Conclusions
16. Examples (Case Studies)
Basel III Capital Structure
A worked example of a bank
Basel III – explanation of changes
Basel III Capital Structure
[language] => en
[duration] => 21
[status] => published
[changed] => 1700037149
[source_title] => Basel III – Certified Basel Professional
[source_language] => en
[cert_code] =>
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[title] => CGEIT – Certified in the Governance of Enterprise IT
[requirements] =>
ISACA requires at least five years of IT governance experience in the five CGEIT Domains to qualify for certification. You can take the CGEIT exam prior to meeting ISACA’s experience requirements, but the CGEIT qualification will not be awarded until all requirements are met. We do not set specific entry requirements for this course.
[overview] =>
Description:
This four day event (CGEIT training) is the ultimate preparation for exam time and is designed to ensure that you pass the challenging CGEIT exam on your first attempt.
The CGEIT qualification is an internationally recognised symbol of excellence in IT governance awarded by ISACA. It is designed for professionals responsible for managing IT governance or with significant advisory or assurance responsibility for IT governance.
Achieving CGEIT status will provide you with wider recognition in the marketplace, as well as increased influence at executive level.
Objectives:
This seminar has been designed to prepare Delegates for the CGEIT examination by enabling them to supplement their existing knowledge and understanding to be better prepared to pass the exam, as defined by ISACA.
Target Audience:
Our training course is for IT and business professionals, with significant IT governance experience who are undertaking the CGEIT exam.
[category_overview] =>
[outline] =>
Domain 1: Framework for the Governance of Enterprise IT (25%)
Ensure the definition, establishment, and management of a framework for the governance of enterprise IT in alignment with the mission, vision and values of the enterprise.
Domain 1—Knowledge Statements:
Knowledge of components of a framework for the governance of enterprise IT
Knowledge of IT governance industry practices, standards and frameworks (for example, COBIT, Information Technology Infrastructure Library [ITIL], International Organization for Standardization [ISO] 20000, ISO 38500)
Knowledge of business drivers related to IT governance (for example, legal, regulatory and contractual requirements)
Knowledge of IT governance enablers (for example, principles, policies and frameworks; processes; organizational structures; culture, ethics and behaviour; information; services, infrastructure and applications; people, skills and competencies)
Knowledge of techniques used to identify IT strategy (for example, SWOT, BCG Matrix)
Knowledge of components, principles, and concepts related to enterprise architecture (EA)
Knowledge of Organizational structures and their roles and responsibilities (for example, enterprise investment committee, program management office, IT strategy committee, IT architecture review board, IT risk management committee)
Knowledge of methods to manage organizational, process and cultural change
Knowledge of models and methods to establish accountability for information requirements, data and system ownership; and IT processes
Knowledge of IT governance monitoring processes/mechanisms (for example, balanced scorecard (BSC)
Knowledge of IT governance reporting processes/mechanisms
Knowledge of communication and promotion techniques
Knowledge of assurance methodologies and techniques
Knowledge of continuous improvement techniques and processes
Domain 2: Strategic Management (20%)
Ensure that IT enables and supports the achievement of enterprise objectives through the integration and alignment of IT strategic plans with enterprise strategic plans.
Domain 2—Knowledge Statements:
Knowledge of an enterprise’s strategic plan and how it relates to IT
Knowledge of strategic planning processes and techniques
Knowledge of impact of changes in business strategy on IT strategy
Knowledge of barriers to the achievement of strategic alignment
Knowledge of policies and procedures necessary to support IT and business strategic alignment
Knowledge of methods to document and communicate IT strategic planning processes (for example, IT dashboard/balanced scorecard, key indicators)
Knowledge of components, principles and frameworks of enterprise architecture (EA)
Knowledge of current and future technologies
Knowledge of prioritization processes related to IT initiatives
Knowledge of scope, objectives and benefits of IT investment programs
Knowledge of IT roles and responsibilities and methods to cascade business and IT objectives to IT personnel
Domain 3: Benefits Realization (16%)
Ensure that IT-enabled investments are managed to deliver optimized business benefits and that benefit realization outcome and performance measures are established, evaluated and progress is reported to key stakeholders.
Domain 3—Knowledge Statements:
Knowledge of IT investment management processes, including the economic life cycle of investments
Knowledge of basic principles of portfolio management
Knowledge of benefit calculation techniques (for example, earned value, total cost of ownership, return on investment)
Knowledge of process and service measurement techniques (for example, maturity models, benchmarking, key performance indicators [KPIs])
Knowledge of processes and practices for planning, development, transition, delivery, and support of IT solutions and services
Knowledge of continuous improvement concepts and principles
Knowledge of outcome and performance measurement techniques (for example, service metrics, key performance indicators [KPIs])
Knowledge of procedures to manage and report the status of IT investments&
Knowledge of cost optimization strategies (for example, outsourcing, adoption of new technologies)
Knowledge of models and methods to establish accountability over IT investments
Knowledge of value delivery frameworks (for example, Val IT)
Knowledge of business case development and evaluation techniques
Domain 4: Risk Optimization (24%)
Ensure that an IT risk management framework exists to identify, analyze, mitigate, manage, monitor, and communicate IT-related business risk, and that the framework for IT risk management is in alignment with the enterprise risk management (ERM) framework.
Domain 4—Knowledge Statements:
Knowledge of the application of risk management at the strategic, portfolio, program, project and operations levels
Knowledge of risk management frameworks and standards (for example, RISK IT, the Committee of Sponsoring Organizations of the Treadway Commission Enterprise Risk Management—Integrated Framework (2004) [COSO ERM], International Organization for Standardization (ISO) 31000)
Knowledge of the relationship of the risk management approach to legal and regulatory compliance
Knowledge of methods to align IT and enterprise risk management (ERM)
Knowledge of the relationship of the risk management approach to business resiliency (for example, business continuity planning [BCP] and disaster recovery planning [DRP])
Knowledge of risk, threats, vulnerabilities and opportunities inherent in the use of IT
Knowledge of types of business risk, exposures and threats (for example, external environment, internal fraud, information security) that can be addressed using IT resources
Knowledge of risk appetite and risk tolerance
Knowledge of quantitative and qualitative risk assessment methods
Knowledge of risk mitigation strategies related to IT in the enterprise
Knowledge of methods to monitor effectiveness of mitigation strategies and/or controls
Knowledge of stakeholder analysis and communication techniques
Knowledge of methods to establish key risk indicators (KRIs)
Knowledge of methods to manage and report the status of identified risk
Domain 5: Resource Optimization (15%)
Ensure the optimization of IT resources including information, services, infrastructure and applications, and people, to support the achievement of enterprise objectives.
Domain 5—Knowledge Statements:
Knowledge of IT resource planning methods
Knowledge of human resource procurement, assessment, training, and development methodologies
Knowledge of processes for acquiring application, information, and infrastructure resources
Knowledge of outsourcing and offshoring approaches that may be employed to meet the investment program and operation level agreements (OLAs) and service level agreements (SLAs)
Knowledge of methods used to record and monitor IT resource utilization and availability
Knowledge of methods used to evaluate and report on IT resource performance
Knowledge of interoperability, standardization and economies of scale
[language] => en
[duration] => 28
[status] => published
[changed] => 1701452512
[source_title] => CGEIT – Certified in the Governance of Enterprise IT
[source_language] => en
[cert_code] => cert_isaca
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[course_code] => compliancepaymentjapan
[hr_nid] => 386327
[title] => Compliance for Payment Services in Japan
[requirements] =>
An understanding of payment service operations in Japan
Audience
Payment service managers
Persons in charge of compliance within a payment service organization
[overview] =>
In Japan, payments services are regulated by two separate pieces of legislation:
Instalment Sales Act
Payment Services Act
This instructor-led, live training (online or onsite) is aimed at payment services compliance professionals who wish to create, implement, and enforce a compliance program within an organization.
By the end of this training, participants will be able to:
Understand the rules set forth by government regulators for payment service providers.
Create the internal policies and procedures needed to satisfy government regulations.
Implement a compliance program that adheres to relevant laws.
Ensures that all corporate processes and procedures comply with the compliance program.
Uphold the business's reputation while protecting it from lawsuits.
Format of the Course
Interactive lecture, discussion, and exercises.
Course Customization Options
To request a customized training for this course, please contact us to arrange.
[category_overview] =>
This instructor-led, live training in <loc> (online or onsite) is aimed at payment services compliance professionals who wish to create, implement, and enforce a compliance program within an organization.
By the end of this training, participants will be able to:
Understand the rules set forth by government regulators for payment service providers.
Create the internal policies and procedures needed to satisfy government regulations.
Implement a compliance program that adheres to relevant laws.
Ensures that all corporate processes and procedures comply with the compliance program.
Uphold the business's reputation while protecting it from lawsuits.
[outline] =>
Introduction
Overview of Financial Regulators / Regulatory Authorities / Supervisory Agencies
Assessing Compliance Risks for New Products and Services
Recommending Risk Mitigation Strategies
Meeting Reporting Requirements
Preparing for On-site and Off-site Audits and Inspections
Handling Conflicts and Disputes
Summary and Next Steps
[language] => en
[duration] => 7
[status] => published
[changed] => 1700037811
[source_title] => Compliance for Payment Services in Japan
[source_language] => en
[cert_code] =>
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[hipaafordev] => stdClass Object
(
[course_code] => hipaafordev
[hr_nid] => 284657
[title] => HIPAA Compliance for Developers
[requirements] =>
Basic familiarity with app development
[overview] =>
HIPAA (Health Insurance Portability and Accountability Act of 1996) is a legislation in the United States that provides provisions for data privacy and security for handling and storing medical information. These guidelines are a good standard to follow in developing health applications, regardless of territory. HIPAA compliant applications are recognized and more trusted globally.
In this instructor-led, live training (remote), participants will learn the fundamentals of HIPAA as they step through a series of hands-on live-lab exercises.
By the end of this training, participants will be able to:
Understand the basics of HIPAA
Develop health applications that are compliant with HIPAA
Use developer tools for HIPAA compliance
Audience
Developers
Product Managers
Data Privacy Officers
Format of the Course
Part lecture, part discussion, exercises and heavy hands-on practice.
Note
To request a customized training for this course, please contact us to arrange.
[category_overview] =>
[outline] =>
Introduction to the Health Insurance Portability and Accountability Act (HIPAA)
Understanding HIPAA
What is PHI (Protected Health Information)?
The Privacy Rule
The Security Rule
Health App Use Scenarios: When Might an App Developer Need to Comply with HIPAA?
Real World Examples of HIPAA Violations
Developer Considerations for HIPAA Compliance
How to Develop HIPAA-Compliant Mobile Applications
How to Develop HIPAA-Compliant Wearable Applications
How to Develop HIPAA-Compliant Cloud Computing Applications
HiTrust (Health Information Trust) is an organization composed of representatives in the healthcare industry. HiTrust CSF (Common Security Framework) is a set of standards that helps organizations meet the requirements for security compliance and regulations.
This instructor-led, live training (online or onsite) is aimed at developers and administrators who wish to produce software and products that are HiTRUST compliant.
By the end of this training, participants will be able to:
Understand the key concepts of the HiTrust CSF (Common Security Framework).
Identify the HITRUST CSF administrative and security control domains.
Learn about the different types of HiTrust assessments and scoring.
Understand the certification process and requirements for HiTrust compliance.
Know the best practices and tips for adopting the HiTrust approach.
Format of the Course
Interactive lecture and discussion.
Lots of exercises and practice.
Hands-on implementation in a live-lab environment.
Course Customization Options
To request a customized training for this course, please contact us to arrange.
[category_overview] =>
This instructor-led, live training in <loc> (online or onsite) is aimed at developers and administrators who wish to produce software and products that are HiTRUST compliant.
By the end of this training, participants will be able to:
Understand the key concepts of the HiTrust CSF (Common Security Framework).
Identify the HITRUST CSF administrative and security control domains.
Learn about the different types of HiTrust assessments and scoring.
Understand the certification process and requirements for HiTrust compliance.
Know the best practices and tips for adopting the HiTrust approach.
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 other “hot spots” in Financial Crime – especially as they relate to International Business, Offshore Centres and High-Net-Worth Clients
[category_overview] =>
[outline] =>
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…?
Across the globe regulators are increasingly linking the amount of risk taken by a bank to the amount of capital it is required to hold and banks and financial services are increasingly being managed on risk-based management practices. The banks, their products, the regulations and the global market are becoming increasingly complex, driving ever greater challenges in effective risk management. A key lesson of the banking crisis of the last five years is that risks are highly integrated and to manage them efficiently banks have to understand these interactions.
Key features include:
the explanation of the current risk-based regulations
detailed review of the major risks faced by banks
industry best practices for adopting an enterprise approach to integrating risk management across an entire organisation
using governance techniques to build a group wide culture to ensure everyone takes an active role in managing risks in line with the banks strategic objectives
what challenges could be faced by risk managers in the future.
The course will make extensive use of case studies designed to explore, examine and reinforce the concepts and ideas covered over the five days. Historical events at banks will be used throughout the course to highlight how they have failed to manage their risks and actions that could have been taken to prevent loss.
Objectives
The objective of this course is to help bank management deliver an appropriate integrated strategy for managing the complex and changing risks and regulations in today’s international banking environment. Specifically this course aims to give senior level management an understanding of:
major risk within the financial industry and the major international risk regulations
how to manage a bank’s assets and liabilities whilst maximising return
the interaction between risk types and how banks use an integrated approach for their management
corporate governance and the best practice approaches to managing the diverse interests of the stakeholders
how to develop a culture of risk governance as a tool for minimising unnecessary risk taking
Who should attend this seminar
This course is intended those who are new to integrated risk management, senior management responsible strategic risk management, or those who wish to further their understanding of enterprise risk management. It will be of use to:
Board level bank management
Senior managers
Senior risk managers and analysts
Senior directors and risk managers responsible for strategic risk management
Internal auditors
Regulatory and compliance personnel
Treasury professionals
Asset and liability managers and analysts
Regulators and supervisory professionals
Suppliers and consultants to banks and the risk management industry
Corporate governance and risk governance managers.
[category_overview] =>
[outline] =>
An introduction to risk
What is risk and why should banks manage it?
Is risk just a downside experience?
The global nature of banking and risks
An introduction to the major types of risk in banks
The potential consequences of failing to manage risks in banks
Risk Appetite
Risk Management
Case study
International risk regulations
What are risk-based regulations?
Linking risk with capital
What is capital adequacy?
Key international regulations
Basel Accord
Sarbanes-Oxley
Case Study
The Basel Accords
The development of international banking risk regulation
The objectives of banking risks
The challenge of global regulations
The Basel I Accord and the Market Risk Amendment
The Basel II Accord
Capital under Basel II
Basel 2.5 and Basel III
The leverage ratio
Countercyclical capital buffer
Systemic interconnectedness
Case study: Capital under Basel III
Market risk
What is market risk?
Market activities and why trade
The main market instruments
Cash instruments
Derivative instruments
Managing market risk
Market risk measurement and management
Market risk regulation
Basel II
Basel III
Case study: The consequences of mis-managing market risk – JP Morgan
Credit risk
What is credit risk
Credit products in an international market
Mitigating and managing credit risk
The credit process
The credit analysis process
Portfolio Management
Credit risk measurement
Credit risk regulation
Basel II
Basel III
Case study
Operational risk
What is operational risk and why is it important?
Risk of loss, expected and unexpected losses
Operational risk event types
Three lines of defence
Operational risk management
Operational risk management framework
Where to start?
Who does operational risk management report to?
What is included under operational risk management?
Measuring and assessing operational risk.
Operational risk regulation
Basel II
Basel III
Case study: UBS
Liquidity risk
What is liquidity risk?
Types of liquidity
Consequences of not managing your liquidity
Sources of liquidity
Measuring liquidity
Stress testing
Managing liquidity
Liquidity risk regulation
Basel II
Basel III
Case study:
Asset and Liability Management and other risks
What is Asset and Liability Management
ALCOs and Treasuries
Banking book verses Trading Book
Interest rate risk in the banking book
Measuring and managing IRRBB
Contractual verses behavioural
Stress testing
‘Other’ risks
Case study:
Supervision & disclosure
What is supervision and disclosure
Home/host supervisory co-operation
The ICAAP
Supervision and disclosure under Basel
The Basel III changes
Case study:
Defining Enterprise Risk Management
What is ERM?
The benefits of ERM
The ERM process
The risk management function
Portfolio management
New product development
Basel Committee guidance
Commonly adopted frameworks
Case study
Integrated risk management
Integrating risks across the bank
Risk committees
Risk policies
Risk recognition and assessment
Adding risk across risk types
Economic capital
Interaction between risk types
Case study
Corporate Governance
What is corporate governance?
Who are the stakeholders and what are the conflicts between them?
What are the benefits of good corporate governance?
Development of corporate governance - Cadbury, Walker, Hicks reports
The external view of Corporate Governance (rating agencies, regulators)
Case study: Can a bank be “Too big to manage”?
Good corporate governance
Corporate structures
The role of non-executive directors
Techniques and strategies
Committees and management practices
Communication
The role of senior management
Internal framework of Corporate Governance
OECD and Basel guidance
Case study:
Risk Governance
Risk management governance
Creating a culture of risk awareness
Implementing a risk culture
Risk management committees
Governance, risk and compliance
Case study:
The future
The new regulatory regime
Implications for the banking industry
Implications for regulators
Priorities in the global banking regulatory agenda
All Senior Management who need a working knowledge of AML / CTF and their prevention – and an awareness of the other relevant and current Financial Crime issues;
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:
Explain how AML and CTF might be prevented
Understand the major facets of AML and CTF as they apply to their companies and the national and international efforts being made to combat them
Define the ways in which a company and its staff should protect themselves against the risks of Money Laundering and Terrorist Financing
Detail how a company might become a target for Money Laundering and Terrorist Financing: and explain which “red flags” might help them to identify, prevent and report any (suspicious or actual) criminal activity
Understand some of the other “hot spots” in Financial Crime
[category_overview] =>
[outline] =>
Anti-Money Laundering (AML) and Countering Terrorist Financing (CTF)
Understanding Money Laundering and Terrorist Financing
What are AML and CTF: and how do they work?
The Criminalisation of Money Laundering and Terrorist Financing: and the types of crimes caught under the Financial Crime Prevention legislation
The expansion of Money Laundering from drugs to corruption to terrorism
The International Community’s response to AML and CTF
The International Community’s response to AML and CTF post-9/11
Especially the Financial Action Task Force (FATF):
Its membership categories (this can include a section on particular countries&rsquo membership)
Its 40 Recommendations for AML and a further 9 Recommendations on CTF
Its influence over domestic and international legislation
Compliance with Anti-Money Laundering Legislation
International Legislation and legislation applicable to the country where the course is being delivered
UK Regulations and Legislation (for comparison): principally The Proceeds of Crime Act 2002 (POCA)
Compliance Strategies
Internal Controls, Procedures and Policies
Cooperation with the Authorities and the Regulators
Know Your Customer (KYC) and Identification and Verification (ID&V) Rules
Impact on Strategy, Client Relations and Human Resources
Recognising and Reporting Suspicious Transactions
Statutory Obligations
Identifying suspicious transactions
Internal and external reporting of suspicious transactions
Money Laundering Detection Techniques
Prevention, Detection and Due Diligence
Early-Warning Mechanisms
The Future
Where are today’s hotspots…?
What next for AML / CTF…?
Other Financial Crime Hotspots
Fraud
Information Security
Market Abuse and Insider Dealing
Sanctions
[language] => en
[duration] => 14
[status] => published
[changed] => 1700037071
[source_title] => Anti-Money Laundering (AML) and Combating Terrorist Financing (CTF)
[source_language] => en
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[hr_nid] => 359931
[title] => COBIT (Control Objectives for Information and Related Technology)
[requirements] =>
Experience in IT management and operations
A general understanding of IT governance and information management
Audience
Business managers
IT managers
Risk and compliance managers
[overview] =>
Control Objectives for Information and Related Technology (COBIT) is a framework that helps organizations plan and implement IT strategies in the areas of regulatory compliance, risk management, and goal setting.
This instructor-led, live training (online or onsite) is aimed at business managers, IT managers, and risk and compliance managers who wish to implement the COBIT framework to optimize IT governance and management.
By the end of this training, participants will be able to design, develop, implement, monitor, and enhance IT governance and management using COBIT principles and methods.
Format of the Course
Interactive lecture and discussion.
Lots of exercises and practice.
Hands-on implementation in a live-lab environment.
Course Customization Options
To request a customized training for this course, please contact us to arrange.
[category_overview] =>
This instructor-led, live training in <loc> (online or onsite) is aimed at business managers, IT managers, and risk and compliance managers who wish to implement the COBIT framework to optimize IT governance and management.
By the end of this training, participants will be able to design, develop, implement, monitor, and enhance IT governance and management using COBIT principles and methods.
[outline] =>
Introduction
Overview of COBIT Framework, Components, and Principles
The COBIT framework
Domains and components
Key principles
Learning About the Key Principles for IT Governance
Information security
Governance and management principles
Security-specific activities and metrics
Exploring the COBIT Framework
COBIT core model
Performance management
Design factors and focus areas
Understanding Governance and Management Objectives
Objective descriptions and purpose
Relevant components to objectives
Designing a Tailored IT Governance Solution
Customizing COBIT
Design factors impact
COBIT toolkit
Implementing COBIT to Optimize IT Governance
Enterprise governance of information and technology (EGIT)
Determining information requirements, roles, and values
Implementation guide and best practices
Design and implementation relationship
Using COBIT for IT Governance and Management
Implementation phases
Lifecycle components
Using a business case tool
Measuring the Framework Performance and Process
COBIT assessment process
Process attributes
Assessing process capability
Summary and Conclusion
[language] => en
[duration] => 7
[status] => published
[changed] => 1700037739
[source_title] => COBIT (Control Objectives for Information and Related Technology)
[source_language] => en
[cert_code] =>
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[hr_nid] => 493
[title] => The Compliance and MLRO Refresher Programme
[requirements] =>
[overview] =>
The Compliance and MLRO Refresher Programme examines the key risk management issues and topics that are of vital importance in today’s highly-regulated environment. As well as being targeted at Compliance Officers, MLROs, MLCOs and other risk management professionals it is also aimed at members of senior management and board members keen to know more about what to expect from the risk control functions within their organisations. The Programme is lectured by subject-matter-expert from the UK.
The key learning objective of the Programme is to equip attendees with sufficient knowledge to assess objectively the adequacy of their organisation’s existing risk management controls and practices and to make appropriate enhancements.
[category_overview] =>
[outline] =>
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
To ensure that an individual has the core understanding of GRC processes and capabilities, and the skills to integrate governance, performance management, risk management, internal control, and compliance activities.
Basel III is a global regulatory standard on bank capital adequacy, stress testing and market liquidity risk. Having initially been agreed upon by the Basel Committee on Banking Supervision in 2010–11, changes to The Accord have extended implementation to 31st March 2019. Basel III strengthens bank capital requirements by increasing bank liquidity and decreasing bank leverage.
Basel III differs from Basel I & II in that it requires different levels of reserves for different forms of deposits and other types of borrowings, so it does not supersede them so much as it does work alongside Basel I and Basel II.
This complex and constantly changing landscape can be hard to keep up with, our course and training will help you manage likely changes and their impact on your institution. We are accredited with and a training partner to the Basel Certification Institute and as such the quality and suitability of our training and material is guaranteed to be up to date and effective
Objectives:
Preparation for the Certified Basel Professional Examination.
Define hands-on strategies and techniques for the definition, measurement, analysis, improvement, and control of operational risk within a banking organization.
Target Audience:
Board members with risk responsibilities
CROs and Heads of Risk Management
Members of the Risk Management team
Compliance, legal and IT support staff
Equity and Credit Analysts
Portfolio Managers
Rating Agency Analysts
Overview:
Introduction to Basel norms and amendments to the Basel Accord (III)
Regulations for market, credit, counterparty and liquidity risk
Stress testing for various risk measures including how to formulate and deliver stress tests
The likely effects of Basel III on the international banking industry, including demonstrations of its practical application
Need For The New Basel Norms
The Basel III Norms
Objectives of The Basel III Norms
Basel III – Timeline
[category_overview] =>
[outline] =>
1. What is Basel III?
1.1. The Basel III papers
1.2. Was Basel II responsible for the market crisis?
1.3. Introduction to the Basel III Amendments
1.4. The Financial Stability Board (FSB), the G20 and the Basel III framework
2. The New Basel III Principles for risk management and corporate governance
The key areas where the Basel Committee believes the greatest focus is necessary
2.1 Board practices
2.2 Senior management
2.3 Risk management and internal controls
2.4 Compensation
2.5 Complex or opaque corporate structures
2.6 Disclosure and transparency
3. The Quality of Capital
3.1 The numerator: A strict definition of capital
3.2 Limits and Minima
3.3 Common Equity Tier 1
3.4 Common shares issued by the bank
3.5 Additional Tier 1 capital
3.6 Tier 2 capital
3.7 Investments held by banks in capital instruments of other banks and financial and insurance entities
3.8 The corresponding deduction approach and the changes in the business model
3.9 Double Gearing and Basel III
3.10 Securitisation and Resecuritisation
4. The Risk Weighted Assets
4.1 The denominator: Enhanced risk coverage
4.2 Understanding securitization
5. The Capital Ratio
5.1 In addition to the quality of capital and risk coverage
5.2 Calibration
5.3 Transition period
6. Global Liquidity Standards
6.1 Introduction of global minimum liquidity standards
6.2 The Liquidity Coverage Ratio (LCR) that makes banks more resilient to potential short-term disruptions
6.3 Stock of high-quality liquid assets
6.4 Total net cash outflows
6.5 The Net Stable Funding Ratio (NSFR) that addresses longer-term structural liquidity mismatches
6.6 Available stable funding (ASF)
6.7 Required stable funding (RSF)
6.8 Contractual maturity mismatch
6.9 Concentration of funding
6.10 Available unencumbered assets
6.11 LCR by significant currency
6.12 Market-related monitoring tools
6.13 Transitional arrangements
7. Capital Conservation
7.1 Distribution policies that are inconsistent with sound capital conservation principles
7.2 Supervisors enforce capital conservation discipline
8. Leverage Ratio
8.1 Strong Tier 1 risk based ratios with high levels of on and off balance sheet leverage
8.2 Simple, non-risk-based leverage ratio
8.3 Introducing additional safeguards against model risk and measurement error
8.4 Calculation of the leverage ratio
9. Countercyclical Capital Buffer
9.1 Procyclical or Countercyclical?
9.2 The new countercyclical capital buffer
9.3 Home / Host Challenges
9.4 Guidance for national authorities operating the countercyclical capital buffer
9.5 Principles underpinning the role of judgement
9.6 Principle 1: (Objectives)
9.7 Principle 2: (Common reference guide)
9.8 Principle 3: (Risk of misleading signals)
9.9 Principle 4: (Prompt release)
9.10 Principle 5: (Other macroprudential tools)
9.11 Jurisdictional reciprocity
9.12 Frequency of buffer decisions and communications
9.13 Treatment of surplus when buffer returns to zero
10. Systemically Important Financial Institutions (SIFIs)
10.1 SIFIs and G-SIFIs
10.2 Improvements to resolution regimes
10.3 Additional loss absorption capacity
10.4 More intensive supervisory oversight
10.5 Stronger robustness standards
10.6 Peer review
10.7 Developments at the national and regional level
10.8 The Financial Stability Oversight Council (FSOC)
10.9 The European Systemic Risk Board (ESRB)
10.10 Strengthening SIFI supervision
11. Systemically Important Markets and Infrastructures (SIMIs)
11.1 The Basel Committee and Financial Stability Board endorse central clearing and trade reporting on OTC derivatives
11.2 Derivative counterparty credit exposures to central counterparty clearing houses (CCPs)
12. Risk Modelling, Stress Testing and Scenario Analysis
12.1 Capture of systemic risk/tail events in stress testing and risk modelling
12.2 VaR shortcomings: the normality assumption
12.3 Need for a strong stress testing programme
12.4 Systemic risk capture in banks’ risk models
13. Pillar 2 Amendments: Stress testing)
13.1 Pillar 2 Amendments: Stress testing
13.2 Principles for sound stress testing practices and supervision
13.3 15 stress testing principles for banks
13.4 Firm-wide stress testing
13.5 6 stress testing principles for supervisors
14. The Impact of Basel III
14.1 The Impact of Basel III
14.2 Investment Banking, Corporate Banking, Retail Banking
14.3 Investment banks are primarily affected, particularly in trading and securitization businesses
14.4 The new capital rules have a substantial impact on profitability
14.5 Basel III Impact on Regional Banks
14.6 Basel III Impact on Pillar 2
14.7 Basel III effect on financial sector
14.8 Basel III implications for bank risk management
14.9 Implications for European Systemic Risk Board
14.10 Impact of Basel III for commercial banks?
14.11 Basel III implications for indigenous banks
14.12 Can regional banks mitigate Basel III impacts?
14.13 Other Implications of Basel III
14.14 Areas of Focus
15. Conclusions
16. Examples (Case Studies)
Basel III Capital Structure
A worked example of a bank
Basel III – explanation of changes
Basel III Capital Structure
[language] => en
[duration] => 21
[status] => published
[changed] => 1700037149
[source_title] => Basel III – Certified Basel Professional
[source_language] => en
[cert_code] =>
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[title] => CGEIT – Certified in the Governance of Enterprise IT
[requirements] =>
ISACA requires at least five years of IT governance experience in the five CGEIT Domains to qualify for certification. You can take the CGEIT exam prior to meeting ISACA’s experience requirements, but the CGEIT qualification will not be awarded until all requirements are met. We do not set specific entry requirements for this course.
[overview] =>
Description:
This four day event (CGEIT training) is the ultimate preparation for exam time and is designed to ensure that you pass the challenging CGEIT exam on your first attempt.
The CGEIT qualification is an internationally recognised symbol of excellence in IT governance awarded by ISACA. It is designed for professionals responsible for managing IT governance or with significant advisory or assurance responsibility for IT governance.
Achieving CGEIT status will provide you with wider recognition in the marketplace, as well as increased influence at executive level.
Objectives:
This seminar has been designed to prepare Delegates for the CGEIT examination by enabling them to supplement their existing knowledge and understanding to be better prepared to pass the exam, as defined by ISACA.
Target Audience:
Our training course is for IT and business professionals, with significant IT governance experience who are undertaking the CGEIT exam.
[category_overview] =>
[outline] =>
Domain 1: Framework for the Governance of Enterprise IT (25%)
Ensure the definition, establishment, and management of a framework for the governance of enterprise IT in alignment with the mission, vision and values of the enterprise.
Domain 1—Knowledge Statements:
Knowledge of components of a framework for the governance of enterprise IT
Knowledge of IT governance industry practices, standards and frameworks (for example, COBIT, Information Technology Infrastructure Library [ITIL], International Organization for Standardization [ISO] 20000, ISO 38500)
Knowledge of business drivers related to IT governance (for example, legal, regulatory and contractual requirements)
Knowledge of IT governance enablers (for example, principles, policies and frameworks; processes; organizational structures; culture, ethics and behaviour; information; services, infrastructure and applications; people, skills and competencies)
Knowledge of techniques used to identify IT strategy (for example, SWOT, BCG Matrix)
Knowledge of components, principles, and concepts related to enterprise architecture (EA)
Knowledge of Organizational structures and their roles and responsibilities (for example, enterprise investment committee, program management office, IT strategy committee, IT architecture review board, IT risk management committee)
Knowledge of methods to manage organizational, process and cultural change
Knowledge of models and methods to establish accountability for information requirements, data and system ownership; and IT processes
Knowledge of IT governance monitoring processes/mechanisms (for example, balanced scorecard (BSC)
Knowledge of IT governance reporting processes/mechanisms
Knowledge of communication and promotion techniques
Knowledge of assurance methodologies and techniques
Knowledge of continuous improvement techniques and processes
Domain 2: Strategic Management (20%)
Ensure that IT enables and supports the achievement of enterprise objectives through the integration and alignment of IT strategic plans with enterprise strategic plans.
Domain 2—Knowledge Statements:
Knowledge of an enterprise’s strategic plan and how it relates to IT
Knowledge of strategic planning processes and techniques
Knowledge of impact of changes in business strategy on IT strategy
Knowledge of barriers to the achievement of strategic alignment
Knowledge of policies and procedures necessary to support IT and business strategic alignment
Knowledge of methods to document and communicate IT strategic planning processes (for example, IT dashboard/balanced scorecard, key indicators)
Knowledge of components, principles and frameworks of enterprise architecture (EA)
Knowledge of current and future technologies
Knowledge of prioritization processes related to IT initiatives
Knowledge of scope, objectives and benefits of IT investment programs
Knowledge of IT roles and responsibilities and methods to cascade business and IT objectives to IT personnel
Domain 3: Benefits Realization (16%)
Ensure that IT-enabled investments are managed to deliver optimized business benefits and that benefit realization outcome and performance measures are established, evaluated and progress is reported to key stakeholders.
Domain 3—Knowledge Statements:
Knowledge of IT investment management processes, including the economic life cycle of investments
Knowledge of basic principles of portfolio management
Knowledge of benefit calculation techniques (for example, earned value, total cost of ownership, return on investment)
Knowledge of process and service measurement techniques (for example, maturity models, benchmarking, key performance indicators [KPIs])
Knowledge of processes and practices for planning, development, transition, delivery, and support of IT solutions and services
Knowledge of continuous improvement concepts and principles
Knowledge of outcome and performance measurement techniques (for example, service metrics, key performance indicators [KPIs])
Knowledge of procedures to manage and report the status of IT investments&
Knowledge of cost optimization strategies (for example, outsourcing, adoption of new technologies)
Knowledge of models and methods to establish accountability over IT investments
Knowledge of value delivery frameworks (for example, Val IT)
Knowledge of business case development and evaluation techniques
Domain 4: Risk Optimization (24%)
Ensure that an IT risk management framework exists to identify, analyze, mitigate, manage, monitor, and communicate IT-related business risk, and that the framework for IT risk management is in alignment with the enterprise risk management (ERM) framework.
Domain 4—Knowledge Statements:
Knowledge of the application of risk management at the strategic, portfolio, program, project and operations levels
Knowledge of risk management frameworks and standards (for example, RISK IT, the Committee of Sponsoring Organizations of the Treadway Commission Enterprise Risk Management—Integrated Framework (2004) [COSO ERM], International Organization for Standardization (ISO) 31000)
Knowledge of the relationship of the risk management approach to legal and regulatory compliance
Knowledge of methods to align IT and enterprise risk management (ERM)
Knowledge of the relationship of the risk management approach to business resiliency (for example, business continuity planning [BCP] and disaster recovery planning [DRP])
Knowledge of risk, threats, vulnerabilities and opportunities inherent in the use of IT
Knowledge of types of business risk, exposures and threats (for example, external environment, internal fraud, information security) that can be addressed using IT resources
Knowledge of risk appetite and risk tolerance
Knowledge of quantitative and qualitative risk assessment methods
Knowledge of risk mitigation strategies related to IT in the enterprise
Knowledge of methods to monitor effectiveness of mitigation strategies and/or controls
Knowledge of stakeholder analysis and communication techniques
Knowledge of methods to establish key risk indicators (KRIs)
Knowledge of methods to manage and report the status of identified risk
Domain 5: Resource Optimization (15%)
Ensure the optimization of IT resources including information, services, infrastructure and applications, and people, to support the achievement of enterprise objectives.
Domain 5—Knowledge Statements:
Knowledge of IT resource planning methods
Knowledge of human resource procurement, assessment, training, and development methodologies
Knowledge of processes for acquiring application, information, and infrastructure resources
Knowledge of outsourcing and offshoring approaches that may be employed to meet the investment program and operation level agreements (OLAs) and service level agreements (SLAs)
Knowledge of methods used to record and monitor IT resource utilization and availability
Knowledge of methods used to evaluate and report on IT resource performance
Knowledge of interoperability, standardization and economies of scale
[language] => en
[duration] => 28
[status] => published
[changed] => 1701452512
[source_title] => CGEIT – Certified in the Governance of Enterprise IT
[source_language] => en
[cert_code] => cert_isaca
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[course_code] => compliancepaymentjapan
[hr_nid] => 386327
[title] => Compliance for Payment Services in Japan
[requirements] =>
An understanding of payment service operations in Japan
Audience
Payment service managers
Persons in charge of compliance within a payment service organization
[overview] =>
In Japan, payments services are regulated by two separate pieces of legislation:
Instalment Sales Act
Payment Services Act
This instructor-led, live training (online or onsite) is aimed at payment services compliance professionals who wish to create, implement, and enforce a compliance program within an organization.
By the end of this training, participants will be able to:
Understand the rules set forth by government regulators for payment service providers.
Create the internal policies and procedures needed to satisfy government regulations.
Implement a compliance program that adheres to relevant laws.
Ensures that all corporate processes and procedures comply with the compliance program.
Uphold the business's reputation while protecting it from lawsuits.
Format of the Course
Interactive lecture, discussion, and exercises.
Course Customization Options
To request a customized training for this course, please contact us to arrange.
[category_overview] =>
This instructor-led, live training in <loc> (online or onsite) is aimed at payment services compliance professionals who wish to create, implement, and enforce a compliance program within an organization.
By the end of this training, participants will be able to:
Understand the rules set forth by government regulators for payment service providers.
Create the internal policies and procedures needed to satisfy government regulations.
Implement a compliance program that adheres to relevant laws.
Ensures that all corporate processes and procedures comply with the compliance program.
Uphold the business's reputation while protecting it from lawsuits.
[outline] =>
Introduction
Overview of Financial Regulators / Regulatory Authorities / Supervisory Agencies
Assessing Compliance Risks for New Products and Services
Recommending Risk Mitigation Strategies
Meeting Reporting Requirements
Preparing for On-site and Off-site Audits and Inspections
Handling Conflicts and Disputes
Summary and Next Steps
[language] => en
[duration] => 7
[status] => published
[changed] => 1700037811
[source_title] => Compliance for Payment Services in Japan
[source_language] => en
[cert_code] =>
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[course_code] => hipaafordev
[hr_nid] => 284657
[title] => HIPAA Compliance for Developers
[requirements] =>
Basic familiarity with app development
[overview] =>
HIPAA (Health Insurance Portability and Accountability Act of 1996) is a legislation in the United States that provides provisions for data privacy and security for handling and storing medical information. These guidelines are a good standard to follow in developing health applications, regardless of territory. HIPAA compliant applications are recognized and more trusted globally.
In this instructor-led, live training (remote), participants will learn the fundamentals of HIPAA as they step through a series of hands-on live-lab exercises.
By the end of this training, participants will be able to:
Understand the basics of HIPAA
Develop health applications that are compliant with HIPAA
Use developer tools for HIPAA compliance
Audience
Developers
Product Managers
Data Privacy Officers
Format of the Course
Part lecture, part discussion, exercises and heavy hands-on practice.
Note
To request a customized training for this course, please contact us to arrange.
[category_overview] =>
[outline] =>
Introduction to the Health Insurance Portability and Accountability Act (HIPAA)
Understanding HIPAA
What is PHI (Protected Health Information)?
The Privacy Rule
The Security Rule
Health App Use Scenarios: When Might an App Developer Need to Comply with HIPAA?
Real World Examples of HIPAA Violations
Developer Considerations for HIPAA Compliance
How to Develop HIPAA-Compliant Mobile Applications
How to Develop HIPAA-Compliant Wearable Applications
How to Develop HIPAA-Compliant Cloud Computing Applications
HiTrust (Health Information Trust) is an organization composed of representatives in the healthcare industry. HiTrust CSF (Common Security Framework) is a set of standards that helps organizations meet the requirements for security compliance and regulations.
This instructor-led, live training (online or onsite) is aimed at developers and administrators who wish to produce software and products that are HiTRUST compliant.
By the end of this training, participants will be able to:
Understand the key concepts of the HiTrust CSF (Common Security Framework).
Identify the HITRUST CSF administrative and security control domains.
Learn about the different types of HiTrust assessments and scoring.
Understand the certification process and requirements for HiTrust compliance.
Know the best practices and tips for adopting the HiTrust approach.
Format of the Course
Interactive lecture and discussion.
Lots of exercises and practice.
Hands-on implementation in a live-lab environment.
Course Customization Options
To request a customized training for this course, please contact us to arrange.
[category_overview] =>
This instructor-led, live training in <loc> (online or onsite) is aimed at developers and administrators who wish to produce software and products that are HiTRUST compliant.
By the end of this training, participants will be able to:
Understand the key concepts of the HiTrust CSF (Common Security Framework).
Identify the HITRUST CSF administrative and security control domains.
Learn about the different types of HiTrust assessments and scoring.
Understand the certification process and requirements for HiTrust compliance.
Know the best practices and tips for adopting the HiTrust approach.
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 other “hot spots” in Financial Crime – especially as they relate to International Business, Offshore Centres and High-Net-Worth Clients
[category_overview] =>
[outline] =>
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…?
Across the globe regulators are increasingly linking the amount of risk taken by a bank to the amount of capital it is required to hold and banks and financial services are increasingly being managed on risk-based management practices. The banks, their products, the regulations and the global market are becoming increasingly complex, driving ever greater challenges in effective risk management. A key lesson of the banking crisis of the last five years is that risks are highly integrated and to manage them efficiently banks have to understand these interactions.
Key features include:
the explanation of the current risk-based regulations
detailed review of the major risks faced by banks
industry best practices for adopting an enterprise approach to integrating risk management across an entire organisation
using governance techniques to build a group wide culture to ensure everyone takes an active role in managing risks in line with the banks strategic objectives
what challenges could be faced by risk managers in the future.
The course will make extensive use of case studies designed to explore, examine and reinforce the concepts and ideas covered over the five days. Historical events at banks will be used throughout the course to highlight how they have failed to manage their risks and actions that could have been taken to prevent loss.
Objectives
The objective of this course is to help bank management deliver an appropriate integrated strategy for managing the complex and changing risks and regulations in today’s international banking environment. Specifically this course aims to give senior level management an understanding of:
major risk within the financial industry and the major international risk regulations
how to manage a bank’s assets and liabilities whilst maximising return
the interaction between risk types and how banks use an integrated approach for their management
corporate governance and the best practice approaches to managing the diverse interests of the stakeholders
how to develop a culture of risk governance as a tool for minimising unnecessary risk taking
Who should attend this seminar
This course is intended those who are new to integrated risk management, senior management responsible strategic risk management, or those who wish to further their understanding of enterprise risk management. It will be of use to:
Board level bank management
Senior managers
Senior risk managers and analysts
Senior directors and risk managers responsible for strategic risk management
Internal auditors
Regulatory and compliance personnel
Treasury professionals
Asset and liability managers and analysts
Regulators and supervisory professionals
Suppliers and consultants to banks and the risk management industry
Corporate governance and risk governance managers.
[category_overview] =>
[outline] =>
An introduction to risk
What is risk and why should banks manage it?
Is risk just a downside experience?
The global nature of banking and risks
An introduction to the major types of risk in banks
The potential consequences of failing to manage risks in banks
Risk Appetite
Risk Management
Case study
International risk regulations
What are risk-based regulations?
Linking risk with capital
What is capital adequacy?
Key international regulations
Basel Accord
Sarbanes-Oxley
Case Study
The Basel Accords
The development of international banking risk regulation
The objectives of banking risks
The challenge of global regulations
The Basel I Accord and the Market Risk Amendment
The Basel II Accord
Capital under Basel II
Basel 2.5 and Basel III
The leverage ratio
Countercyclical capital buffer
Systemic interconnectedness
Case study: Capital under Basel III
Market risk
What is market risk?
Market activities and why trade
The main market instruments
Cash instruments
Derivative instruments
Managing market risk
Market risk measurement and management
Market risk regulation
Basel II
Basel III
Case study: The consequences of mis-managing market risk – JP Morgan
Credit risk
What is credit risk
Credit products in an international market
Mitigating and managing credit risk
The credit process
The credit analysis process
Portfolio Management
Credit risk measurement
Credit risk regulation
Basel II
Basel III
Case study
Operational risk
What is operational risk and why is it important?
Risk of loss, expected and unexpected losses
Operational risk event types
Three lines of defence
Operational risk management
Operational risk management framework
Where to start?
Who does operational risk management report to?
What is included under operational risk management?
Measuring and assessing operational risk.
Operational risk regulation
Basel II
Basel III
Case study: UBS
Liquidity risk
What is liquidity risk?
Types of liquidity
Consequences of not managing your liquidity
Sources of liquidity
Measuring liquidity
Stress testing
Managing liquidity
Liquidity risk regulation
Basel II
Basel III
Case study:
Asset and Liability Management and other risks
What is Asset and Liability Management
ALCOs and Treasuries
Banking book verses Trading Book
Interest rate risk in the banking book
Measuring and managing IRRBB
Contractual verses behavioural
Stress testing
‘Other’ risks
Case study:
Supervision & disclosure
What is supervision and disclosure
Home/host supervisory co-operation
The ICAAP
Supervision and disclosure under Basel
The Basel III changes
Case study:
Defining Enterprise Risk Management
What is ERM?
The benefits of ERM
The ERM process
The risk management function
Portfolio management
New product development
Basel Committee guidance
Commonly adopted frameworks
Case study
Integrated risk management
Integrating risks across the bank
Risk committees
Risk policies
Risk recognition and assessment
Adding risk across risk types
Economic capital
Interaction between risk types
Case study
Corporate Governance
What is corporate governance?
Who are the stakeholders and what are the conflicts between them?
What are the benefits of good corporate governance?
Development of corporate governance - Cadbury, Walker, Hicks reports
The external view of Corporate Governance (rating agencies, regulators)
Case study: Can a bank be “Too big to manage”?
Good corporate governance
Corporate structures
The role of non-executive directors
Techniques and strategies
Committees and management practices
Communication
The role of senior management
Internal framework of Corporate Governance
OECD and Basel guidance
Case study:
Risk Governance
Risk management governance
Creating a culture of risk awareness
Implementing a risk culture
Risk management committees
Governance, risk and compliance
Case study:
The future
The new regulatory regime
Implications for the banking industry
Implications for regulators
Priorities in the global banking regulatory agenda
All Senior Management who need a working knowledge of AML / CTF and their prevention – and an awareness of the other relevant and current Financial Crime issues;
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:
Explain how AML and CTF might be prevented
Understand the major facets of AML and CTF as they apply to their companies and the national and international efforts being made to combat them
Define the ways in which a company and its staff should protect themselves against the risks of Money Laundering and Terrorist Financing
Detail how a company might become a target for Money Laundering and Terrorist Financing: and explain which “red flags” might help them to identify, prevent and report any (suspicious or actual) criminal activity
Understand some of the other “hot spots” in Financial Crime
[category_overview] =>
[outline] =>
Anti-Money Laundering (AML) and Countering Terrorist Financing (CTF)
Understanding Money Laundering and Terrorist Financing
What are AML and CTF: and how do they work?
The Criminalisation of Money Laundering and Terrorist Financing: and the types of crimes caught under the Financial Crime Prevention legislation
The expansion of Money Laundering from drugs to corruption to terrorism
The International Community’s response to AML and CTF
The International Community’s response to AML and CTF post-9/11
Especially the Financial Action Task Force (FATF):
Its membership categories (this can include a section on particular countries&rsquo membership)
Its 40 Recommendations for AML and a further 9 Recommendations on CTF
Its influence over domestic and international legislation
Compliance with Anti-Money Laundering Legislation
International Legislation and legislation applicable to the country where the course is being delivered
UK Regulations and Legislation (for comparison): principally The Proceeds of Crime Act 2002 (POCA)
Compliance Strategies
Internal Controls, Procedures and Policies
Cooperation with the Authorities and the Regulators
Know Your Customer (KYC) and Identification and Verification (ID&V) Rules
Impact on Strategy, Client Relations and Human Resources
Recognising and Reporting Suspicious Transactions
Statutory Obligations
Identifying suspicious transactions
Internal and external reporting of suspicious transactions
Money Laundering Detection Techniques
Prevention, Detection and Due Diligence
Early-Warning Mechanisms
The Future
Where are today’s hotspots…?
What next for AML / CTF…?
Other Financial Crime Hotspots
Fraud
Information Security
Market Abuse and Insider Dealing
Sanctions
[language] => en
[duration] => 14
[status] => published
[changed] => 1700037071
[source_title] => Anti-Money Laundering (AML) and Combating Terrorist Financing (CTF)
[source_language] => en
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[course_code] => cobit
[hr_nid] => 359931
[title] => COBIT (Control Objectives for Information and Related Technology)
[requirements] =>
Experience in IT management and operations
A general understanding of IT governance and information management
Audience
Business managers
IT managers
Risk and compliance managers
[overview] =>
Control Objectives for Information and Related Technology (COBIT) is a framework that helps organizations plan and implement IT strategies in the areas of regulatory compliance, risk management, and goal setting.
This instructor-led, live training (online or onsite) is aimed at business managers, IT managers, and risk and compliance managers who wish to implement the COBIT framework to optimize IT governance and management.
By the end of this training, participants will be able to design, develop, implement, monitor, and enhance IT governance and management using COBIT principles and methods.
Format of the Course
Interactive lecture and discussion.
Lots of exercises and practice.
Hands-on implementation in a live-lab environment.
Course Customization Options
To request a customized training for this course, please contact us to arrange.
[category_overview] =>
This instructor-led, live training in <loc> (online or onsite) is aimed at business managers, IT managers, and risk and compliance managers who wish to implement the COBIT framework to optimize IT governance and management.
By the end of this training, participants will be able to design, develop, implement, monitor, and enhance IT governance and management using COBIT principles and methods.
[outline] =>
Introduction
Overview of COBIT Framework, Components, and Principles
The COBIT framework
Domains and components
Key principles
Learning About the Key Principles for IT Governance
Information security
Governance and management principles
Security-specific activities and metrics
Exploring the COBIT Framework
COBIT core model
Performance management
Design factors and focus areas
Understanding Governance and Management Objectives
Objective descriptions and purpose
Relevant components to objectives
Designing a Tailored IT Governance Solution
Customizing COBIT
Design factors impact
COBIT toolkit
Implementing COBIT to Optimize IT Governance
Enterprise governance of information and technology (EGIT)
Determining information requirements, roles, and values
Implementation guide and best practices
Design and implementation relationship
Using COBIT for IT Governance and Management
Implementation phases
Lifecycle components
Using a business case tool
Measuring the Framework Performance and Process
COBIT assessment process
Process attributes
Assessing process capability
Summary and Conclusion
[language] => en
[duration] => 7
[status] => published
[changed] => 1700037739
[source_title] => COBIT (Control Objectives for Information and Related Technology)
[source_language] => en
[cert_code] =>
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[hr_nid] => 493
[title] => The Compliance and MLRO Refresher Programme
[requirements] =>
[overview] =>
The Compliance and MLRO Refresher Programme examines the key risk management issues and topics that are of vital importance in today’s highly-regulated environment. As well as being targeted at Compliance Officers, MLROs, MLCOs and other risk management professionals it is also aimed at members of senior management and board members keen to know more about what to expect from the risk control functions within their organisations. The Programme is lectured by subject-matter-expert from the UK.
The key learning objective of the Programme is to equip attendees with sufficient knowledge to assess objectively the adequacy of their organisation’s existing risk management controls and practices and to make appropriate enhancements.
[category_overview] =>
[outline] =>
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
To ensure that an individual has the core understanding of GRC processes and capabilities, and the skills to integrate governance, performance management, risk management, internal control, and compliance activities.
Basel III is a global regulatory standard on bank capital adequacy, stress testing and market liquidity risk. Having initially been agreed upon by the Basel Committee on Banking Supervision in 2010–11, changes to The Accord have extended implementation to 31st March 2019. Basel III strengthens bank capital requirements by increasing bank liquidity and decreasing bank leverage.
Basel III differs from Basel I & II in that it requires different levels of reserves for different forms of deposits and other types of borrowings, so it does not supersede them so much as it does work alongside Basel I and Basel II.
This complex and constantly changing landscape can be hard to keep up with, our course and training will help you manage likely changes and their impact on your institution. We are accredited with and a training partner to the Basel Certification Institute and as such the quality and suitability of our training and material is guaranteed to be up to date and effective
Objectives:
Preparation for the Certified Basel Professional Examination.
Define hands-on strategies and techniques for the definition, measurement, analysis, improvement, and control of operational risk within a banking organization.
Target Audience:
Board members with risk responsibilities
CROs and Heads of Risk Management
Members of the Risk Management team
Compliance, legal and IT support staff
Equity and Credit Analysts
Portfolio Managers
Rating Agency Analysts
Overview:
Introduction to Basel norms and amendments to the Basel Accord (III)
Regulations for market, credit, counterparty and liquidity risk
Stress testing for various risk measures including how to formulate and deliver stress tests
The likely effects of Basel III on the international banking industry, including demonstrations of its practical application
Need For The New Basel Norms
The Basel III Norms
Objectives of The Basel III Norms
Basel III – Timeline
[category_overview] =>
[outline] =>
1. What is Basel III?
1.1. The Basel III papers
1.2. Was Basel II responsible for the market crisis?
1.3. Introduction to the Basel III Amendments
1.4. The Financial Stability Board (FSB), the G20 and the Basel III framework
2. The New Basel III Principles for risk management and corporate governance
The key areas where the Basel Committee believes the greatest focus is necessary
2.1 Board practices
2.2 Senior management
2.3 Risk management and internal controls
2.4 Compensation
2.5 Complex or opaque corporate structures
2.6 Disclosure and transparency
3. The Quality of Capital
3.1 The numerator: A strict definition of capital
3.2 Limits and Minima
3.3 Common Equity Tier 1
3.4 Common shares issued by the bank
3.5 Additional Tier 1 capital
3.6 Tier 2 capital
3.7 Investments held by banks in capital instruments of other banks and financial and insurance entities
3.8 The corresponding deduction approach and the changes in the business model
3.9 Double Gearing and Basel III
3.10 Securitisation and Resecuritisation
4. The Risk Weighted Assets
4.1 The denominator: Enhanced risk coverage
4.2 Understanding securitization
5. The Capital Ratio
5.1 In addition to the quality of capital and risk coverage
5.2 Calibration
5.3 Transition period
6. Global Liquidity Standards
6.1 Introduction of global minimum liquidity standards
6.2 The Liquidity Coverage Ratio (LCR) that makes banks more resilient to potential short-term disruptions
6.3 Stock of high-quality liquid assets
6.4 Total net cash outflows
6.5 The Net Stable Funding Ratio (NSFR) that addresses longer-term structural liquidity mismatches
6.6 Available stable funding (ASF)
6.7 Required stable funding (RSF)
6.8 Contractual maturity mismatch
6.9 Concentration of funding
6.10 Available unencumbered assets
6.11 LCR by significant currency
6.12 Market-related monitoring tools
6.13 Transitional arrangements
7. Capital Conservation
7.1 Distribution policies that are inconsistent with sound capital conservation principles
7.2 Supervisors enforce capital conservation discipline
8. Leverage Ratio
8.1 Strong Tier 1 risk based ratios with high levels of on and off balance sheet leverage
8.2 Simple, non-risk-based leverage ratio
8.3 Introducing additional safeguards against model risk and measurement error
8.4 Calculation of the leverage ratio
9. Countercyclical Capital Buffer
9.1 Procyclical or Countercyclical?
9.2 The new countercyclical capital buffer
9.3 Home / Host Challenges
9.4 Guidance for national authorities operating the countercyclical capital buffer
9.5 Principles underpinning the role of judgement
9.6 Principle 1: (Objectives)
9.7 Principle 2: (Common reference guide)
9.8 Principle 3: (Risk of misleading signals)
9.9 Principle 4: (Prompt release)
9.10 Principle 5: (Other macroprudential tools)
9.11 Jurisdictional reciprocity
9.12 Frequency of buffer decisions and communications
9.13 Treatment of surplus when buffer returns to zero
10. Systemically Important Financial Institutions (SIFIs)
10.1 SIFIs and G-SIFIs
10.2 Improvements to resolution regimes
10.3 Additional loss absorption capacity
10.4 More intensive supervisory oversight
10.5 Stronger robustness standards
10.6 Peer review
10.7 Developments at the national and regional level
10.8 The Financial Stability Oversight Council (FSOC)
10.9 The European Systemic Risk Board (ESRB)
10.10 Strengthening SIFI supervision
11. Systemically Important Markets and Infrastructures (SIMIs)
11.1 The Basel Committee and Financial Stability Board endorse central clearing and trade reporting on OTC derivatives
11.2 Derivative counterparty credit exposures to central counterparty clearing houses (CCPs)
12. Risk Modelling, Stress Testing and Scenario Analysis
12.1 Capture of systemic risk/tail events in stress testing and risk modelling
12.2 VaR shortcomings: the normality assumption
12.3 Need for a strong stress testing programme
12.4 Systemic risk capture in banks’ risk models
13. Pillar 2 Amendments: Stress testing)
13.1 Pillar 2 Amendments: Stress testing
13.2 Principles for sound stress testing practices and supervision
13.3 15 stress testing principles for banks
13.4 Firm-wide stress testing
13.5 6 stress testing principles for supervisors
14. The Impact of Basel III
14.1 The Impact of Basel III
14.2 Investment Banking, Corporate Banking, Retail Banking
14.3 Investment banks are primarily affected, particularly in trading and securitization businesses
14.4 The new capital rules have a substantial impact on profitability
14.5 Basel III Impact on Regional Banks
14.6 Basel III Impact on Pillar 2
14.7 Basel III effect on financial sector
14.8 Basel III implications for bank risk management
14.9 Implications for European Systemic Risk Board
14.10 Impact of Basel III for commercial banks?
14.11 Basel III implications for indigenous banks
14.12 Can regional banks mitigate Basel III impacts?
14.13 Other Implications of Basel III
14.14 Areas of Focus
15. Conclusions
16. Examples (Case Studies)
Basel III Capital Structure
A worked example of a bank
Basel III – explanation of changes
Basel III Capital Structure
[language] => en
[duration] => 21
[status] => published
[changed] => 1700037149
[source_title] => Basel III – Certified Basel Professional
[source_language] => en
[cert_code] =>
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[title] => CGEIT – Certified in the Governance of Enterprise IT
[requirements] =>
ISACA requires at least five years of IT governance experience in the five CGEIT Domains to qualify for certification. You can take the CGEIT exam prior to meeting ISACA’s experience requirements, but the CGEIT qualification will not be awarded until all requirements are met. We do not set specific entry requirements for this course.
[overview] =>
Description:
This four day event (CGEIT training) is the ultimate preparation for exam time and is designed to ensure that you pass the challenging CGEIT exam on your first attempt.
The CGEIT qualification is an internationally recognised symbol of excellence in IT governance awarded by ISACA. It is designed for professionals responsible for managing IT governance or with significant advisory or assurance responsibility for IT governance.
Achieving CGEIT status will provide you with wider recognition in the marketplace, as well as increased influence at executive level.
Objectives:
This seminar has been designed to prepare Delegates for the CGEIT examination by enabling them to supplement their existing knowledge and understanding to be better prepared to pass the exam, as defined by ISACA.
Target Audience:
Our training course is for IT and business professionals, with significant IT governance experience who are undertaking the CGEIT exam.
[category_overview] =>
[outline] =>
Domain 1: Framework for the Governance of Enterprise IT (25%)
Ensure the definition, establishment, and management of a framework for the governance of enterprise IT in alignment with the mission, vision and values of the enterprise.
Domain 1—Knowledge Statements:
Knowledge of components of a framework for the governance of enterprise IT
Knowledge of IT governance industry practices, standards and frameworks (for example, COBIT, Information Technology Infrastructure Library [ITIL], International Organization for Standardization [ISO] 20000, ISO 38500)
Knowledge of business drivers related to IT governance (for example, legal, regulatory and contractual requirements)
Knowledge of IT governance enablers (for example, principles, policies and frameworks; processes; organizational structures; culture, ethics and behaviour; information; services, infrastructure and applications; people, skills and competencies)
Knowledge of techniques used to identify IT strategy (for example, SWOT, BCG Matrix)
Knowledge of components, principles, and concepts related to enterprise architecture (EA)
Knowledge of Organizational structures and their roles and responsibilities (for example, enterprise investment committee, program management office, IT strategy committee, IT architecture review board, IT risk management committee)
Knowledge of methods to manage organizational, process and cultural change
Knowledge of models and methods to establish accountability for information requirements, data and system ownership; and IT processes
Knowledge of IT governance monitoring processes/mechanisms (for example, balanced scorecard (BSC)
Knowledge of IT governance reporting processes/mechanisms
Knowledge of communication and promotion techniques
Knowledge of assurance methodologies and techniques
Knowledge of continuous improvement techniques and processes
Domain 2: Strategic Management (20%)
Ensure that IT enables and supports the achievement of enterprise objectives through the integration and alignment of IT strategic plans with enterprise strategic plans.
Domain 2—Knowledge Statements:
Knowledge of an enterprise’s strategic plan and how it relates to IT
Knowledge of strategic planning processes and techniques
Knowledge of impact of changes in business strategy on IT strategy
Knowledge of barriers to the achievement of strategic alignment
Knowledge of policies and procedures necessary to support IT and business strategic alignment
Knowledge of methods to document and communicate IT strategic planning processes (for example, IT dashboard/balanced scorecard, key indicators)
Knowledge of components, principles and frameworks of enterprise architecture (EA)
Knowledge of current and future technologies
Knowledge of prioritization processes related to IT initiatives
Knowledge of scope, objectives and benefits of IT investment programs
Knowledge of IT roles and responsibilities and methods to cascade business and IT objectives to IT personnel
Domain 3: Benefits Realization (16%)
Ensure that IT-enabled investments are managed to deliver optimized business benefits and that benefit realization outcome and performance measures are established, evaluated and progress is reported to key stakeholders.
Domain 3—Knowledge Statements:
Knowledge of IT investment management processes, including the economic life cycle of investments
Knowledge of basic principles of portfolio management
Knowledge of benefit calculation techniques (for example, earned value, total cost of ownership, return on investment)
Knowledge of process and service measurement techniques (for example, maturity models, benchmarking, key performance indicators [KPIs])
Knowledge of processes and practices for planning, development, transition, delivery, and support of IT solutions and services
Knowledge of continuous improvement concepts and principles
Knowledge of outcome and performance measurement techniques (for example, service metrics, key performance indicators [KPIs])
Knowledge of procedures to manage and report the status of IT investments&
Knowledge of cost optimization strategies (for example, outsourcing, adoption of new technologies)
Knowledge of models and methods to establish accountability over IT investments
Knowledge of value delivery frameworks (for example, Val IT)
Knowledge of business case development and evaluation techniques
Domain 4: Risk Optimization (24%)
Ensure that an IT risk management framework exists to identify, analyze, mitigate, manage, monitor, and communicate IT-related business risk, and that the framework for IT risk management is in alignment with the enterprise risk management (ERM) framework.
Domain 4—Knowledge Statements:
Knowledge of the application of risk management at the strategic, portfolio, program, project and operations levels
Knowledge of risk management frameworks and standards (for example, RISK IT, the Committee of Sponsoring Organizations of the Treadway Commission Enterprise Risk Management—Integrated Framework (2004) [COSO ERM], International Organization for Standardization (ISO) 31000)
Knowledge of the relationship of the risk management approach to legal and regulatory compliance
Knowledge of methods to align IT and enterprise risk management (ERM)
Knowledge of the relationship of the risk management approach to business resiliency (for example, business continuity planning [BCP] and disaster recovery planning [DRP])
Knowledge of risk, threats, vulnerabilities and opportunities inherent in the use of IT
Knowledge of types of business risk, exposures and threats (for example, external environment, internal fraud, information security) that can be addressed using IT resources
Knowledge of risk appetite and risk tolerance
Knowledge of quantitative and qualitative risk assessment methods
Knowledge of risk mitigation strategies related to IT in the enterprise
Knowledge of methods to monitor effectiveness of mitigation strategies and/or controls
Knowledge of stakeholder analysis and communication techniques
Knowledge of methods to establish key risk indicators (KRIs)
Knowledge of methods to manage and report the status of identified risk
Domain 5: Resource Optimization (15%)
Ensure the optimization of IT resources including information, services, infrastructure and applications, and people, to support the achievement of enterprise objectives.
Domain 5—Knowledge Statements:
Knowledge of IT resource planning methods
Knowledge of human resource procurement, assessment, training, and development methodologies
Knowledge of processes for acquiring application, information, and infrastructure resources
Knowledge of outsourcing and offshoring approaches that may be employed to meet the investment program and operation level agreements (OLAs) and service level agreements (SLAs)
Knowledge of methods used to record and monitor IT resource utilization and availability
Knowledge of methods used to evaluate and report on IT resource performance
Knowledge of interoperability, standardization and economies of scale
[language] => en
[duration] => 28
[status] => published
[changed] => 1701452512
[source_title] => CGEIT – Certified in the Governance of Enterprise IT
[source_language] => en
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[course_code] => compliancepaymentjapan
[hr_nid] => 386327
[title] => Compliance for Payment Services in Japan
[requirements] =>
An understanding of payment service operations in Japan
Audience
Payment service managers
Persons in charge of compliance within a payment service organization
[overview] =>
In Japan, payments services are regulated by two separate pieces of legislation:
Instalment Sales Act
Payment Services Act
This instructor-led, live training (online or onsite) is aimed at payment services compliance professionals who wish to create, implement, and enforce a compliance program within an organization.
By the end of this training, participants will be able to:
Understand the rules set forth by government regulators for payment service providers.
Create the internal policies and procedures needed to satisfy government regulations.
Implement a compliance program that adheres to relevant laws.
Ensures that all corporate processes and procedures comply with the compliance program.
Uphold the business's reputation while protecting it from lawsuits.
Format of the Course
Interactive lecture, discussion, and exercises.
Course Customization Options
To request a customized training for this course, please contact us to arrange.
[category_overview] =>
This instructor-led, live training in <loc> (online or onsite) is aimed at payment services compliance professionals who wish to create, implement, and enforce a compliance program within an organization.
By the end of this training, participants will be able to:
Understand the rules set forth by government regulators for payment service providers.
Create the internal policies and procedures needed to satisfy government regulations.
Implement a compliance program that adheres to relevant laws.
Ensures that all corporate processes and procedures comply with the compliance program.
Uphold the business's reputation while protecting it from lawsuits.
[outline] =>
Introduction
Overview of Financial Regulators / Regulatory Authorities / Supervisory Agencies
Assessing Compliance Risks for New Products and Services
Recommending Risk Mitigation Strategies
Meeting Reporting Requirements
Preparing for On-site and Off-site Audits and Inspections
Handling Conflicts and Disputes
Summary and Next Steps
[language] => en
[duration] => 7
[status] => published
[changed] => 1700037811
[source_title] => Compliance for Payment Services in Japan
[source_language] => en
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[course_code] => hipaafordev
[hr_nid] => 284657
[title] => HIPAA Compliance for Developers
[requirements] =>
Basic familiarity with app development
[overview] =>
HIPAA (Health Insurance Portability and Accountability Act of 1996) is a legislation in the United States that provides provisions for data privacy and security for handling and storing medical information. These guidelines are a good standard to follow in developing health applications, regardless of territory. HIPAA compliant applications are recognized and more trusted globally.
In this instructor-led, live training (remote), participants will learn the fundamentals of HIPAA as they step through a series of hands-on live-lab exercises.
By the end of this training, participants will be able to:
Understand the basics of HIPAA
Develop health applications that are compliant with HIPAA
Use developer tools for HIPAA compliance
Audience
Developers
Product Managers
Data Privacy Officers
Format of the Course
Part lecture, part discussion, exercises and heavy hands-on practice.
Note
To request a customized training for this course, please contact us to arrange.
[category_overview] =>
[outline] =>
Introduction to the Health Insurance Portability and Accountability Act (HIPAA)
Understanding HIPAA
What is PHI (Protected Health Information)?
The Privacy Rule
The Security Rule
Health App Use Scenarios: When Might an App Developer Need to Comply with HIPAA?
Real World Examples of HIPAA Violations
Developer Considerations for HIPAA Compliance
How to Develop HIPAA-Compliant Mobile Applications
How to Develop HIPAA-Compliant Wearable Applications
How to Develop HIPAA-Compliant Cloud Computing Applications
HiTrust (Health Information Trust) is an organization composed of representatives in the healthcare industry. HiTrust CSF (Common Security Framework) is a set of standards that helps organizations meet the requirements for security compliance and regulations.
This instructor-led, live training (online or onsite) is aimed at developers and administrators who wish to produce software and products that are HiTRUST compliant.
By the end of this training, participants will be able to:
Understand the key concepts of the HiTrust CSF (Common Security Framework).
Identify the HITRUST CSF administrative and security control domains.
Learn about the different types of HiTrust assessments and scoring.
Understand the certification process and requirements for HiTrust compliance.
Know the best practices and tips for adopting the HiTrust approach.
Format of the Course
Interactive lecture and discussion.
Lots of exercises and practice.
Hands-on implementation in a live-lab environment.
Course Customization Options
To request a customized training for this course, please contact us to arrange.
[category_overview] =>
This instructor-led, live training in <loc> (online or onsite) is aimed at developers and administrators who wish to produce software and products that are HiTRUST compliant.
By the end of this training, participants will be able to:
Understand the key concepts of the HiTrust CSF (Common Security Framework).
Identify the HITRUST CSF administrative and security control domains.
Learn about the different types of HiTrust assessments and scoring.
Understand the certification process and requirements for HiTrust compliance.
Know the best practices and tips for adopting the HiTrust approach.
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 other “hot spots” in Financial Crime – especially as they relate to International Business, Offshore Centres and High-Net-Worth Clients
[category_overview] =>
[outline] =>
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…?
Across the globe regulators are increasingly linking the amount of risk taken by a bank to the amount of capital it is required to hold and banks and financial services are increasingly being managed on risk-based management practices. The banks, their products, the regulations and the global market are becoming increasingly complex, driving ever greater challenges in effective risk management. A key lesson of the banking crisis of the last five years is that risks are highly integrated and to manage them efficiently banks have to understand these interactions.
Key features include:
the explanation of the current risk-based regulations
detailed review of the major risks faced by banks
industry best practices for adopting an enterprise approach to integrating risk management across an entire organisation
using governance techniques to build a group wide culture to ensure everyone takes an active role in managing risks in line with the banks strategic objectives
what challenges could be faced by risk managers in the future.
The course will make extensive use of case studies designed to explore, examine and reinforce the concepts and ideas covered over the five days. Historical events at banks will be used throughout the course to highlight how they have failed to manage their risks and actions that could have been taken to prevent loss.
Objectives
The objective of this course is to help bank management deliver an appropriate integrated strategy for managing the complex and changing risks and regulations in today’s international banking environment. Specifically this course aims to give senior level management an understanding of:
major risk within the financial industry and the major international risk regulations
how to manage a bank’s assets and liabilities whilst maximising return
the interaction between risk types and how banks use an integrated approach for their management
corporate governance and the best practice approaches to managing the diverse interests of the stakeholders
how to develop a culture of risk governance as a tool for minimising unnecessary risk taking
Who should attend this seminar
This course is intended those who are new to integrated risk management, senior management responsible strategic risk management, or those who wish to further their understanding of enterprise risk management. It will be of use to:
Board level bank management
Senior managers
Senior risk managers and analysts
Senior directors and risk managers responsible for strategic risk management
Internal auditors
Regulatory and compliance personnel
Treasury professionals
Asset and liability managers and analysts
Regulators and supervisory professionals
Suppliers and consultants to banks and the risk management industry
Corporate governance and risk governance managers.
[category_overview] =>
[outline] =>
An introduction to risk
What is risk and why should banks manage it?
Is risk just a downside experience?
The global nature of banking and risks
An introduction to the major types of risk in banks
The potential consequences of failing to manage risks in banks
Risk Appetite
Risk Management
Case study
International risk regulations
What are risk-based regulations?
Linking risk with capital
What is capital adequacy?
Key international regulations
Basel Accord
Sarbanes-Oxley
Case Study
The Basel Accords
The development of international banking risk regulation
The objectives of banking risks
The challenge of global regulations
The Basel I Accord and the Market Risk Amendment
The Basel II Accord
Capital under Basel II
Basel 2.5 and Basel III
The leverage ratio
Countercyclical capital buffer
Systemic interconnectedness
Case study: Capital under Basel III
Market risk
What is market risk?
Market activities and why trade
The main market instruments
Cash instruments
Derivative instruments
Managing market risk
Market risk measurement and management
Market risk regulation
Basel II
Basel III
Case study: The consequences of mis-managing market risk – JP Morgan
Credit risk
What is credit risk
Credit products in an international market
Mitigating and managing credit risk
The credit process
The credit analysis process
Portfolio Management
Credit risk measurement
Credit risk regulation
Basel II
Basel III
Case study
Operational risk
What is operational risk and why is it important?
Risk of loss, expected and unexpected losses
Operational risk event types
Three lines of defence
Operational risk management
Operational risk management framework
Where to start?
Who does operational risk management report to?
What is included under operational risk management?
Measuring and assessing operational risk.
Operational risk regulation
Basel II
Basel III
Case study: UBS
Liquidity risk
What is liquidity risk?
Types of liquidity
Consequences of not managing your liquidity
Sources of liquidity
Measuring liquidity
Stress testing
Managing liquidity
Liquidity risk regulation
Basel II
Basel III
Case study:
Asset and Liability Management and other risks
What is Asset and Liability Management
ALCOs and Treasuries
Banking book verses Trading Book
Interest rate risk in the banking book
Measuring and managing IRRBB
Contractual verses behavioural
Stress testing
‘Other’ risks
Case study:
Supervision & disclosure
What is supervision and disclosure
Home/host supervisory co-operation
The ICAAP
Supervision and disclosure under Basel
The Basel III changes
Case study:
Defining Enterprise Risk Management
What is ERM?
The benefits of ERM
The ERM process
The risk management function
Portfolio management
New product development
Basel Committee guidance
Commonly adopted frameworks
Case study
Integrated risk management
Integrating risks across the bank
Risk committees
Risk policies
Risk recognition and assessment
Adding risk across risk types
Economic capital
Interaction between risk types
Case study
Corporate Governance
What is corporate governance?
Who are the stakeholders and what are the conflicts between them?
What are the benefits of good corporate governance?
Development of corporate governance - Cadbury, Walker, Hicks reports
The external view of Corporate Governance (rating agencies, regulators)
Case study: Can a bank be “Too big to manage”?
Good corporate governance
Corporate structures
The role of non-executive directors
Techniques and strategies
Committees and management practices
Communication
The role of senior management
Internal framework of Corporate Governance
OECD and Basel guidance
Case study:
Risk Governance
Risk management governance
Creating a culture of risk awareness
Implementing a risk culture
Risk management committees
Governance, risk and compliance
Case study:
The future
The new regulatory regime
Implications for the banking industry
Implications for regulators
Priorities in the global banking regulatory agenda
All Senior Management who need a working knowledge of AML / CTF and their prevention – and an awareness of the other relevant and current Financial Crime issues;
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:
Explain how AML and CTF might be prevented
Understand the major facets of AML and CTF as they apply to their companies and the national and international efforts being made to combat them
Define the ways in which a company and its staff should protect themselves against the risks of Money Laundering and Terrorist Financing
Detail how a company might become a target for Money Laundering and Terrorist Financing: and explain which “red flags” might help them to identify, prevent and report any (suspicious or actual) criminal activity
Understand some of the other “hot spots” in Financial Crime
[category_overview] =>
[outline] =>
Anti-Money Laundering (AML) and Countering Terrorist Financing (CTF)
Understanding Money Laundering and Terrorist Financing
What are AML and CTF: and how do they work?
The Criminalisation of Money Laundering and Terrorist Financing: and the types of crimes caught under the Financial Crime Prevention legislation
The expansion of Money Laundering from drugs to corruption to terrorism
The International Community’s response to AML and CTF
The International Community’s response to AML and CTF post-9/11
Especially the Financial Action Task Force (FATF):
Its membership categories (this can include a section on particular countries&rsquo membership)
Its 40 Recommendations for AML and a further 9 Recommendations on CTF
Its influence over domestic and international legislation
Compliance with Anti-Money Laundering Legislation
International Legislation and legislation applicable to the country where the course is being delivered
UK Regulations and Legislation (for comparison): principally The Proceeds of Crime Act 2002 (POCA)
Compliance Strategies
Internal Controls, Procedures and Policies
Cooperation with the Authorities and the Regulators
Know Your Customer (KYC) and Identification and Verification (ID&V) Rules
Impact on Strategy, Client Relations and Human Resources
Recognising and Reporting Suspicious Transactions
Statutory Obligations
Identifying suspicious transactions
Internal and external reporting of suspicious transactions
Money Laundering Detection Techniques
Prevention, Detection and Due Diligence
Early-Warning Mechanisms
The Future
Where are today’s hotspots…?
What next for AML / CTF…?
Other Financial Crime Hotspots
Fraud
Information Security
Market Abuse and Insider Dealing
Sanctions
[language] => en
[duration] => 14
[status] => published
[changed] => 1700037071
[source_title] => Anti-Money Laundering (AML) and Combating Terrorist Financing (CTF)
[source_language] => en
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[hr_nid] => 359931
[title] => COBIT (Control Objectives for Information and Related Technology)
[requirements] =>
Experience in IT management and operations
A general understanding of IT governance and information management
Audience
Business managers
IT managers
Risk and compliance managers
[overview] =>
Control Objectives for Information and Related Technology (COBIT) is a framework that helps organizations plan and implement IT strategies in the areas of regulatory compliance, risk management, and goal setting.
This instructor-led, live training (online or onsite) is aimed at business managers, IT managers, and risk and compliance managers who wish to implement the COBIT framework to optimize IT governance and management.
By the end of this training, participants will be able to design, develop, implement, monitor, and enhance IT governance and management using COBIT principles and methods.
Format of the Course
Interactive lecture and discussion.
Lots of exercises and practice.
Hands-on implementation in a live-lab environment.
Course Customization Options
To request a customized training for this course, please contact us to arrange.
[category_overview] =>
This instructor-led, live training in <loc> (online or onsite) is aimed at business managers, IT managers, and risk and compliance managers who wish to implement the COBIT framework to optimize IT governance and management.
By the end of this training, participants will be able to design, develop, implement, monitor, and enhance IT governance and management using COBIT principles and methods.
[outline] =>
Introduction
Overview of COBIT Framework, Components, and Principles
The COBIT framework
Domains and components
Key principles
Learning About the Key Principles for IT Governance
Information security
Governance and management principles
Security-specific activities and metrics
Exploring the COBIT Framework
COBIT core model
Performance management
Design factors and focus areas
Understanding Governance and Management Objectives
Objective descriptions and purpose
Relevant components to objectives
Designing a Tailored IT Governance Solution
Customizing COBIT
Design factors impact
COBIT toolkit
Implementing COBIT to Optimize IT Governance
Enterprise governance of information and technology (EGIT)
Determining information requirements, roles, and values
Implementation guide and best practices
Design and implementation relationship
Using COBIT for IT Governance and Management
Implementation phases
Lifecycle components
Using a business case tool
Measuring the Framework Performance and Process
COBIT assessment process
Process attributes
Assessing process capability
Summary and Conclusion
[language] => en
[duration] => 7
[status] => published
[changed] => 1700037739
[source_title] => COBIT (Control Objectives for Information and Related Technology)
[source_language] => en
[cert_code] =>
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[title] => The Compliance and MLRO Refresher Programme
[requirements] =>
[overview] =>
The Compliance and MLRO Refresher Programme examines the key risk management issues and topics that are of vital importance in today’s highly-regulated environment. As well as being targeted at Compliance Officers, MLROs, MLCOs and other risk management professionals it is also aimed at members of senior management and board members keen to know more about what to expect from the risk control functions within their organisations. The Programme is lectured by subject-matter-expert from the UK.
The key learning objective of the Programme is to equip attendees with sufficient knowledge to assess objectively the adequacy of their organisation’s existing risk management controls and practices and to make appropriate enhancements.
[category_overview] =>
[outline] =>
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
To ensure that an individual has the core understanding of GRC processes and capabilities, and the skills to integrate governance, performance management, risk management, internal control, and compliance activities.
Overview:
GRC Basic terms and definitions
Principles of GRC
Core components, practices and activities
Relationship of GRC to other disciplines
Thank you for sending your enquiry! One of our team members will contact you shortly.
Thank you for sending your booking! One of our team members will contact you shortly.
Basel III is a global regulatory standard on bank capital adequacy, stress testing and market liquidity risk. Having initially been agreed upon by the Basel Committee on Banking Supervision in 2010–11, changes to The Accord have extended implementation to 31st March 2019. Basel III strengthens bank capital requirements by increasing bank liquidity and decreasing bank leverage.
Basel III differs from Basel I & II in that it requires different levels of reserves for different forms of deposits and other types of borrowings, so it does not supersede them so much as it does work alongside Basel I and Basel II.
This complex and constantly changing landscape can be hard to keep up with, our course and training will help you manage likely changes and their impact on your institution. We are accredited with and a training partner to the Basel Certification Institute and as such the quality and suitability of our training and material is guaranteed to be up to date and effective
Objectives:
Preparation for the Certified Basel Professional Examination.
Define hands-on strategies and techniques for the definition, measurement, analysis, improvement, and control of operational risk within a banking organization.
Target Audience:
Board members with risk responsibilities
CROs and Heads of Risk Management
Members of the Risk Management team
Compliance, legal and IT support staff
Equity and Credit Analysts
Portfolio Managers
Rating Agency Analysts
Overview:
Introduction to Basel norms and amendments to the Basel Accord (III)
Regulations for market, credit, counterparty and liquidity risk
Stress testing for various risk measures including how to formulate and deliver stress tests
The likely effects of Basel III on the international banking industry, including demonstrations of its practical application
This four day event (CGEIT training) is the ultimate preparation for exam time and is designed to ensure that you pass the challenging CGEIT exam on your first attempt.
The CGEIT qualification is an internationally recognised symbol of excellence in IT governance awarded by ISACA. It is designed for professionals responsible for managing IT governance or with significant advisory or assurance responsibility for IT governance.
Achieving CGEIT status will provide you with wider recognition in the marketplace, as well as increased influence at executive level.
Objectives:
This seminar has been designed to prepare Delegates for the CGEIT examination by enabling them to supplement their existing knowledge and understanding to be better prepared to pass the exam, as defined by ISACA.
Target Audience:
Our training course is for IT and business professionals, with significant IT governance experience who are undertaking the CGEIT exam.
This instructor-led, live training in Norway (online or onsite) is aimed at payment services compliance professionals who wish to create, implement, and enforce a compliance program within an organization.
By the end of this training, participants will be able to:
Understand the rules set forth by government regulators for payment service providers.
Create the internal policies and procedures needed to satisfy government regulations.
Implement a compliance program that adheres to relevant laws.
Ensures that all corporate processes and procedures comply with the compliance program.
Uphold the business's reputation while protecting it from lawsuits.
HIPAA (Health Insurance Portability and Accountability Act of 1996) is a legislation in the United States that provides provisions for data privacy and security for handling and storing medical information. These guidelines are a good standard to follow in developing health applications, regardless of territory. HIPAA compliant applications are recognized and more trusted globally.
In this instructor-led, live training (remote), participants will learn the fundamentals of HIPAA as they step through a series of hands-on live-lab exercises.
By the end of this training, participants will be able to:
Understand the basics of HIPAA
Develop health applications that are compliant with HIPAA
Use developer tools for HIPAA compliance
Audience
Developers
Product Managers
Data Privacy Officers
Format of the Course
Part lecture, part discussion, exercises and heavy hands-on practice.
Note
To request a customized training for this course, please contact us to arrange.
This instructor-led, live training in Norway (online or onsite) is aimed at developers and administrators who wish to produce software and products that are HiTRUST compliant.
By the end of this training, participants will be able to:
Understand the key concepts of the HiTrust CSF (Common Security Framework).
Identify the HITRUST CSF administrative and security control domains.
Learn about the different types of HiTrust assessments and scoring.
Understand the certification process and requirements for HiTrust compliance.
Know the best practices and tips for adopting the HiTrust approach.
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 other “hot spots” in Financial Crime – especially as they relate to International Business, Offshore Centres and High-Net-Worth Clients
Across the globe regulators are increasingly linking the amount of risk taken by a bank to the amount of capital it is required to hold and banks and financial services are increasingly being managed on risk-based management practices. The banks, their products, the regulations and the global market are becoming increasingly complex, driving ever greater challenges in effective risk management. A key lesson of the banking crisis of the last five years is that risks are highly integrated and to manage them efficiently banks have to understand these interactions.
Key features include:
the explanation of the current risk-based regulations
detailed review of the major risks faced by banks
industry best practices for adopting an enterprise approach to integrating risk management across an entire organisation
using governance techniques to build a group wide culture to ensure everyone takes an active role in managing risks in line with the banks strategic objectives
what challenges could be faced by risk managers in the future.
The course will make extensive use of case studies designed to explore, examine and reinforce the concepts and ideas covered over the five days. Historical events at banks will be used throughout the course to highlight how they have failed to manage their risks and actions that could have been taken to prevent loss.
Objectives
The objective of this course is to help bank management deliver an appropriate integrated strategy for managing the complex and changing risks and regulations in today’s international banking environment. Specifically this course aims to give senior level management an understanding of:
major risk within the financial industry and the major international risk regulations
how to manage a bank’s assets and liabilities whilst maximising return
the interaction between risk types and how banks use an integrated approach for their management
corporate governance and the best practice approaches to managing the diverse interests of the stakeholders
how to develop a culture of risk governance as a tool for minimising unnecessary risk taking
Who should attend this seminar
This course is intended those who are new to integrated risk management, senior management responsible strategic risk management, or those who wish to further their understanding of enterprise risk management. It will be of use to:
Board level bank management
Senior managers
Senior risk managers and analysts
Senior directors and risk managers responsible for strategic risk management
Internal auditors
Regulatory and compliance personnel
Treasury professionals
Asset and liability managers and analysts
Regulators and supervisory professionals
Suppliers and consultants to banks and the risk management industry
Corporate governance and risk governance managers.
All Senior Management who need a working knowledge of AML / CTF and their prevention – and an awareness of the other relevant and current Financial Crime issues;
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:
Explain how AML and CTF might be prevented
Understand the major facets of AML and CTF as they apply to their companies and the national and international efforts being made to combat them
Define the ways in which a company and its staff should protect themselves against the risks of Money Laundering and Terrorist Financing
Detail how a company might become a target for Money Laundering and Terrorist Financing: and explain which “red flags” might help them to identify, prevent and report any (suspicious or actual) criminal activity
Understand some of the other “hot spots” in Financial Crime
This instructor-led, live training in Norway (online or onsite) is aimed at business managers, IT managers, and risk and compliance managers who wish to implement the COBIT framework to optimize IT governance and management.
By the end of this training, participants will be able to design, develop, implement, monitor, and enhance IT governance and management using COBIT principles and methods.
The Compliance and MLRO Refresher Programme examines the key risk management issues and topics that are of vital importance in today’s highly-regulated environment. As well as being targeted at Compliance Officers, MLROs, MLCOs and other risk management professionals it is also aimed at members of senior management and board members keen to know more about what to expect from the risk control functions within their organisations. The Programme is lectured by subject-matter-expert from the UK.
The key learning objective of the Programme is to equip attendees with sufficient knowledge to assess objectively the adequacy of their organisation’s existing risk management controls and practices and to make appropriate enhancements.
