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FINANCE SECTOR REGULATORY COMPLIANCE


London Corporate Training Limited

Summary

Price
£2,850 inc VAT
Study method
Classroom
Duration
5 Days, Full-time
Qualification
30 CPD points / hours

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Location & dates

Location
Start date
End date
30/03/2020
03/04/2020

End date: 03/04/2020

Address
3 Shortlands, London
Shortlands
West London
London
W68DA
United Kingdom
02/11/2020
06/11/2020

End date: 06/11/2020

Address
3 Shortlands, London
Shortlands
West London
London
W68DA
United Kingdom

Overview

  • 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

Description

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

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