FINANCE SECTOR REGULATORY COMPLIANCE

Course Reference: FIN.10
Duration: 5 days
Location: London

Who should attend?

Managers and executives from financial sector organisations who wish to strengthen their compliance risk mitigation and want to effect a greater awareness of compliance within their organisation:

• Risk managers
• Decision makers in their organisation
• New compliance officers
• Internal auditors tasked with auditing the compliance function
• Legal department managers
• Treasury staff

 

By the end delegates will know how to:

• Describe the role of the Chief Compliance Officer in regulatory compliance and risk management
• Review your financial institution’s existing processes and procedures and make recommendations for changes to bring them to international standards
• Establish policies and procedures for conflicts of interest management and application of internal controls
• Improve internal reporting to the Regulator, Board and Senior Management
• Identify, analyse and mitigate compliance risks

• Introduction to Regulatory Compliance and Compliance Risks
• International and Supranational Standard-Setting Bodies
• Complying with External Regulations
• Internal Compliance
• Global Internal and External Regulatory Compliance

Executive Laptop
£600

Operating System: Windows 10

Processor: Intel Core i5 2.4GHz

Memory: 6GB DDR4

Storage: 1TB HDD

Display 15.6"

 

Apple iPad
£550

Capacity: 128GB

9.7" Retina display

A10 chip with 64-bit architecture and M10 motion processor

Wi-Fi and Cellular

 

Manager Laptop
£400

Operating System: Windows 10

Processor: Intel Core i3 2.8GHz

Memory: 4GB DDR4

Storage: 500GB HDD

Display 15.6"

 

Laptop specifications are subject to change without notice. The above specifications are only for illustration purposes. A similar or superior laptop will be issued where possible. We will always source the best quality brand new laptop at the time of purchasing. The invoice must be paid in advance before the laptop is released to the delegate.